Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, KAI CHIU
Chinese Name of Relevant Individual
蘇啟超
HKMA Registration Number
AF9371
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
26 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
26 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
SFC CE number
AAJ165
Business Address
BANK OF EAST ASIA BUILDING, 10 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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 26 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 26 May 2022
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
31 Aug 2019 - 11 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
31 Aug 2019 - 11 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jul 2018 - 28 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jul 2018 - 28 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Oct 2016 - 15 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Oct 2016 - 15 Jun 2018
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
20 Aug 2014 - 01 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Aug 2014 - 01 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Mar 2013 - 01 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Mar 2013 - 01 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
28 Mar 2013 - 01 May 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
SO, KAI CHIU
:
Chinese Name of Relevant Individual
蘇啟超
:
HKMA Registration Number
AF9371
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
26 May 2022
No
DIRECTOR
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
26 May 2022
No
DIRECTOR
Name of Registered Institution
SFC CE number
Business Address
BANK OF EAST ASIA, LIMITED (THE)
AAJ165
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9371
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
Since 26 May 2022
No
AF9371
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
Since 26 May 2022
No
AF9371
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
31 Aug 2019 - 11 Nov 2020
No
AF9371
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
31 Aug 2019 - 11 Nov 2020
No
AF9371
INDUSTRIAL BANK CO., LTD.
Type 1: dealing in securities
05 Jul 2018 - 28 Aug 2019
No
AF9371
INDUSTRIAL BANK CO., LTD.
Type 4: advising on securities
05 Jul 2018 - 28 Aug 2019
No
AF9371
WING LUNG BANK LIMITED
Type 1: dealing in securities
01 Oct 2016 - 15 Jun 2018
No
AF9371
WING LUNG BANK LIMITED
Type 4: advising on securities
01 Oct 2016 - 15 Jun 2018
No
AF9371
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Aug 2014 - 01 Sep 2016
No
AF9371
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Aug 2014 - 01 Sep 2016
No
AF9371
HANG SENG BANK, LIMITED
Type 1: dealing in securities
28 Mar 2013 - 01 May 2014
No
AF9371
HANG SENG BANK, LIMITED
Type 4: advising on securities
28 Mar 2013 - 01 May 2014
No
AF9371
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
28 Mar 2013 - 01 May 2014
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.