Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, KA MAN
Chinese Name of Relevant Individual
陳嘉雯
HKMA Registration Number
AF3669
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
19 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
19 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 19 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 19 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Aug 2018 - 14 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
10 Aug 2018 - 14 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Apr 2018 - 22 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 Apr 2018 - 22 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Sep 2013 - 25 Feb 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING HANG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Nov 2011 - 05 Sep 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
CHAN, KA MAN
:
Chinese Name of Relevant Individual
陳嘉雯
:
HKMA Registration Number
AF3669
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
19 Sep 2022
No
RELATIONSHIP MANAGEMENT
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
19 Sep 2022
No
RELATIONSHIP MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3669
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 19 Sep 2022
No
AF3669
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 19 Sep 2022
No
AF3669
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
10 Aug 2018 - 14 Sep 2022
No
AF3669
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
10 Aug 2018 - 14 Sep 2022
No
AF3669
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
12 Apr 2018 - 22 Jun 2018
No
AF3669
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
12 Apr 2018 - 22 Jun 2018
No
AF3669
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
26 Sep 2013 - 25 Feb 2018
No
AF3669
WING HANG BANK, LIMITED
Type 1: dealing in securities
05 Nov 2011 - 05 Sep 2013
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.