Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAW, KAI CHUNG
Chinese Name of Relevant Individual
羅啟聰
HKMA Registration Number
AF6342
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
14 Sep 2016
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT CONSULTANT, DIRECTOR
Remarks
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Sep 2016
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT CONSULTANT, DIRECTOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CTBC BANK CO., LTD.
SFC CE number
ABM849
Business Address
ROOM 2106-10, 21/F AND ROOM 2801, 28/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, 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
CTBC BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 14 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 14 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Dec 2013 - 30 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Dec 2013 - 30 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jan 2013 - 15 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jan 2013 - 15 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Jun 2012 - 28 Dec 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
23 Jun 2012 - 28 Dec 2012
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
LAW, KAI CHUNG
:
Chinese Name of Relevant Individual
羅啟聰
:
HKMA Registration Number
AF6342
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CTBC BANK CO., LTD.
Type 1: dealing in securities
14 Sep 2016
No
INVESTMENT CONSULTANT, DIRECTOR
CTBC BANK CO., LTD.
Type 4: advising on securities
14 Sep 2016
No
INVESTMENT CONSULTANT, DIRECTOR
Name of Registered Institution
SFC CE number
Business Address
CTBC BANK CO., LTD.
ABM849
ROOM 2106-10, 21/F AND ROOM 2801, 28/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6342
CTBC BANK CO., LTD.
Type 1: dealing in securities
Since 14 Sep 2016
No
AF6342
CTBC BANK CO., LTD.
Type 4: advising on securities
Since 14 Sep 2016
No
AF6342
DAH SING BANK, LIMITED
Type 1: dealing in securities
14 Dec 2013 - 30 Aug 2016
No
AF6342
DAH SING BANK, LIMITED
Type 4: advising on securities
14 Dec 2013 - 30 Aug 2016
No
AF6342
BARCLAYS BANK PLC
Type 1: dealing in securities
07 Jan 2013 - 15 May 2013
No
AF6342
BARCLAYS BANK PLC
Type 4: advising on securities
07 Jan 2013 - 15 May 2013
No
AF6342
BARCLAYS BANK PLC
Type 1: dealing in securities
23 Jun 2012 - 28 Dec 2012
No
AF6342
BARCLAYS BANK PLC
Type 4: advising on securities
23 Jun 2012 - 28 Dec 2012
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.