Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, FRITZ CHUN KWAI
Chinese Name of Relevant Individual
陳俊桂
HKMA Registration Number
AF9503
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
23 Oct 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
GENERAL MANAGER & HEAD OF PERSONAL BANKING DIVISION
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
23 Oct 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
GENERAL MANAGER & HEAD OF PERSONAL BANKING DIVISION
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 9: asset management
First date of engagement
16 Jul 2022
Is an Executive Officer? (Yes / No)
No
Capacity
GENERAL MANAGER & HEAD OF PERSONAL BANKING DIVISION
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 9: asset management
Effective Period
Since 16 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 29 Apr 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 29 Apr 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Oct 2021 - 28 Apr 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
23 Oct 2021 - 28 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Dec 2013 - 30 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
28 Dec 2013 - 30 Jun 2021
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
16 Apr 2013 - 31 Oct 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
16 Apr 2013 - 31 Oct 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, FRITZ CHUN KWAI
:
Chinese Name of Relevant Individual
陳俊桂
:
HKMA Registration Number
AF9503
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
23 Oct 2021
Yes
GENERAL MANAGER & HEAD OF PERSONAL BANKING DIVISION
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
23 Oct 2021
Yes
GENERAL MANAGER & HEAD OF PERSONAL BANKING DIVISION
BANK OF EAST ASIA, LIMITED (THE)
Type 9: asset management
16 Jul 2022
No
GENERAL MANAGER & HEAD OF PERSONAL BANKING DIVISION
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)
AF9503
BANK OF EAST ASIA, LIMITED (THE)
Type 9: asset management
Since 16 Jul 2022
No
AF9503
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
Since 29 Apr 2022
Yes
AF9503
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
Since 29 Apr 2022
Yes
AF9503
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
23 Oct 2021 - 28 Apr 2022
No
AF9503
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
23 Oct 2021 - 28 Apr 2022
No
AF9503
UBS AG
Type 1: dealing in securities
28 Dec 2013 - 30 Jun 2021
No
AF9503
UBS AG
Type 4: advising on securities
28 Dec 2013 - 30 Jun 2021
No
AF9503
BARCLAYS BANK PLC
Type 1: dealing in securities
16 Apr 2013 - 31 Oct 2013
No
AF9503
BARCLAYS BANK PLC
Type 4: advising on securities
16 Apr 2013 - 31 Oct 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.