Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHETH, RAHUL
Chinese Name of Relevant Individual
HKMA Registration Number
AF9206
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
17 Jun 2026
Is an Executive Officer? (Yes / No)
No
Capacity
DEBT CAPITAL MARKETS
Remarks
Engage in the regulated activity until 18 Jun 2026
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
17 Jun 2026
Is an Executive Officer? (Yes / No)
No
Capacity
DEBT CAPITAL MARKETS
Remarks
Engage in the regulated activity until 18 Jun 2026
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A DES VOEUX 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 17 Jun 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 17 Jun 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 May 2026 - 14 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
12 May 2026 - 14 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Apr 2026 - 18 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
17 Apr 2026 - 18 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Feb 2026 - 27 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
25 Feb 2026 - 27 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Sep 2025 - 17 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
10 Sep 2025 - 17 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jul 2025 - 16 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
14 Jul 2025 - 16 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 May 2025 - 30 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
26 May 2025 - 30 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Mar 2025
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 189
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
SHETH, RAHUL
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF9206
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Jun 2026
No
DEBT CAPITAL MARKETS
Engage in the regulated activity until 18 Jun 2026
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
17 Jun 2026
No
DEBT CAPITAL MARKETS
Engage in the regulated activity until 18 Jun 2026
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 17 Jun 2026
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
Since 17 Jun 2026
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
12 May 2026 - 14 May 2026
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
12 May 2026 - 14 May 2026
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Apr 2026 - 18 Apr 2026
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
17 Apr 2026 - 18 Apr 2026
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
25 Feb 2026 - 27 Feb 2026
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
25 Feb 2026 - 27 Feb 2026
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
10 Sep 2025 - 17 Sep 2025
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
10 Sep 2025 - 17 Sep 2025
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
14 Jul 2025 - 16 Jul 2025
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
14 Jul 2025 - 16 Jul 2025
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 May 2025 - 30 May 2025
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
26 May 2025 - 30 May 2025
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Mar 2025
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
05 Mar 2025
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Jan 2025 - 22 Jan 2025
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
20 Jan 2025 - 22 Jan 2025
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Oct 2024 - 25 Oct 2024
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
21 Oct 2024 - 25 Oct 2024
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Jun 2024 - 11 Jun 2024
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
07 Jun 2024 - 11 Jun 2024
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Apr 2024 - 25 Apr 2024
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
22 Apr 2024 - 25 Apr 2024
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 Feb 2024 - 01 Mar 2024
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
26 Feb 2024 - 01 Mar 2024
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 Oct 2023 - 02 Nov 2023
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
27 Oct 2023 - 02 Nov 2023
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Sep 2023 - 26 Sep 2023
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
11 Sep 2023 - 26 Sep 2023
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
18 Nov 2022 - 23 Nov 2022
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
18 Nov 2022 - 23 Nov 2022
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
18 Nov 2022 - 23 Nov 2022
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Oct 2022
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Oct 2022
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
20 Oct 2022
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Jan 2020
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Jan 2020
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
21 Jan 2020
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
13 Jan 2020 - 14 Jan 2020
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
13 Jan 2020 - 14 Jan 2020
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
13 Jan 2020 - 14 Jan 2020
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 Oct 2019 - 30 Oct 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 Oct 2019 - 30 Oct 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
28 Oct 2019 - 30 Oct 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 Aug 2019 - 30 Aug 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
26 Aug 2019 - 30 Aug 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
26 Aug 2019 - 30 Aug 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Jun 2019 - 18 Jun 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
17 Jun 2019 - 18 Jun 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
17 Jun 2019 - 18 Jun 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Jun 2019 - 04 Jun 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Jun 2019 - 04 Jun 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
03 Jun 2019 - 04 Jun 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
15 May 2019 - 16 May 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
15 May 2019 - 16 May 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
15 May 2019 - 16 May 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 May 2019 - 07 May 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
06 May 2019 - 07 May 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
06 May 2019 - 07 May 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
15 Apr 2019 - 16 Apr 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
15 Apr 2019 - 16 Apr 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
15 Apr 2019 - 16 Apr 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Mar 2019 - 08 Mar 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Mar 2019 - 08 Mar 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
07 Mar 2019 - 08 Mar 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
14 Jan 2019 - 16 Jan 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
14 Jan 2019 - 16 Jan 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
14 Jan 2019 - 16 Jan 2019
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Nov 2018 - 17 Nov 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Nov 2018 - 17 Nov 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
16 Nov 2018 - 17 Nov 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
18 Oct 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
18 Oct 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
18 Oct 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Oct 2018 - 09 Oct 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Oct 2018 - 09 Oct 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
04 Oct 2018 - 09 Oct 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
24 Sep 2018 - 27 Sep 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
24 Sep 2018 - 27 Sep 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
24 Sep 2018 - 27 Sep 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Sep 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Sep 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
04 Sep 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Aug 2018 - 02 Aug 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Aug 2018 - 02 Aug 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
01 Aug 2018 - 02 Aug 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
13 Jun 2018 - 14 Jun 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
13 Jun 2018 - 14 Jun 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
13 Jun 2018 - 14 Jun 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 May 2018 - 11 May 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 May 2018 - 11 May 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
08 May 2018 - 11 May 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Apr 2018 - 10 Apr 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Apr 2018 - 10 Apr 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
08 Apr 2018 - 10 Apr 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Apr 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Apr 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
03 Apr 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Mar 2018 - 09 Mar 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Mar 2018 - 09 Mar 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
07 Mar 2018 - 09 Mar 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
12 Feb 2018 - 14 Feb 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
12 Feb 2018 - 14 Feb 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
12 Feb 2018 - 14 Feb 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
19 Jan 2018 - 22 Jan 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
19 Jan 2018 - 22 Jan 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
19 Jan 2018 - 22 Jan 2018
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Dec 2017 - 07 Dec 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Dec 2017 - 07 Dec 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
04 Dec 2017 - 07 Dec 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Nov 2017 - 23 Nov 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Nov 2017 - 23 Nov 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
20 Nov 2017 - 23 Nov 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
25 Oct 2017 - 27 Oct 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
25 Oct 2017 - 27 Oct 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
25 Oct 2017 - 27 Oct 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Oct 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
17 Oct 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
17 Oct 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Sep 2017 - 22 Sep 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Sep 2017 - 22 Sep 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
21 Sep 2017 - 22 Sep 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
13 Sep 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
13 Sep 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
13 Sep 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Sep 2017 - 07 Sep 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Sep 2017 - 07 Sep 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
05 Sep 2017 - 07 Sep 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 Jul 2017 - 07 Jul 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
06 Jul 2017 - 07 Jul 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
06 Jul 2017 - 07 Jul 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Jun 2017 - 20 Jun 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Jun 2017 - 20 Jun 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
05 Jun 2017 - 20 Jun 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
15 May 2017 - 19 May 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
15 May 2017 - 19 May 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
15 May 2017 - 19 May 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 Mar 2017 - 30 Mar 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 Mar 2017 - 30 Mar 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
28 Mar 2017 - 30 Mar 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 Feb 2017 - 03 Mar 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
27 Feb 2017 - 03 Mar 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
27 Feb 2017 - 03 Mar 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Jan 2017 - 27 Jan 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Jan 2017 - 27 Jan 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
16 Jan 2017 - 27 Jan 2017
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 Aug 2016 - 20 Sep 2016
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
26 Aug 2016 - 20 Sep 2016
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
26 Aug 2016 - 20 Sep 2016
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
18 May 2016 - 26 May 2016
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
18 May 2016 - 26 May 2016
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
18 May 2016 - 26 May 2016
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 May 2016 - 07 May 2016
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 May 2016 - 07 May 2016
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
03 May 2016 - 07 May 2016
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Apr 2016 - 15 Apr 2016
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Apr 2016 - 15 Apr 2016
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
05 Apr 2016 - 15 Apr 2016
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Nov 2015 - 06 Nov 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Nov 2015 - 06 Nov 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
04 Nov 2015 - 06 Nov 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Oct 2015 - 28 Oct 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Oct 2015 - 28 Oct 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
05 Oct 2015 - 28 Oct 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
12 May 2015 - 19 May 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
12 May 2015 - 19 May 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
12 May 2015 - 19 May 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
12 Mar 2015 - 31 Mar 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
12 Mar 2015 - 31 Mar 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
12 Mar 2015 - 31 Mar 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Feb 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Feb 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
04 Feb 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Jan 2015 - 23 Jan 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Jan 2015 - 23 Jan 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
04 Jan 2015 - 23 Jan 2015
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 Aug 2014 - 12 Sep 2014
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
27 Aug 2014 - 12 Sep 2014
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
27 Aug 2014 - 12 Sep 2014
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Jun 2014 - 04 Jul 2014
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Jun 2014 - 04 Jul 2014
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
16 Jun 2014 - 04 Jul 2014
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Sep 2013 - 14 Sep 2013
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Sep 2013 - 14 Sep 2013
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
09 Sep 2013 - 14 Sep 2013
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Mar 2013 - 14 Mar 2013
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Mar 2013 - 14 Mar 2013
No
AF9206
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
11 Mar 2013 - 14 Mar 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.