Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, PAK KIU JAMES
Chinese Name of Relevant Individual
陳百翹
HKMA Registration Number
AG0397
Current Registration
Not Applicable
Business Address
Not Applicable
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
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jan 2021 - 27 Dec 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Jan 2021 - 27 Dec 2023
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
20 Jul 2013 - 08 Jun 2014
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
20 Jul 2013 - 08 Jun 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, PAK KIU JAMES
:
Chinese Name of Relevant Individual
陳百翹
:
HKMA Registration Number
AG0397
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0397
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
21 Jan 2021 - 27 Dec 2023
No
AG0397
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
21 Jan 2021 - 27 Dec 2023
No
AG0397
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
20 Jul 2013 - 08 Jun 2014
No
AG0397
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
20 Jul 2013 - 08 Jun 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.