Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, SIU MING
Chinese Name of Relevant Individual
陳紹銘
HKMA Registration Number
AG1124
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
18 Jun 2018
Is an Executive Officer? (Yes / No)
No
Capacity
PERSONAL BANKING
Remarks
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
18 Jun 2018
Is an Executive Officer? (Yes / No)
No
Capacity
PERSONAL BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
SFC CE number
AAI670
Business Address
33/F, ICBC TOWER, 3 GARDEN 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
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 18 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 18 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jan 2018 - 02 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jan 2018 - 02 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Mar 2016 - 28 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
05 Mar 2016 - 28 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Aug 2015 - 07 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 Aug 2015 - 07 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Sep 2013 - 10 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
24 Sep 2013 - 10 Jul 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, SIU MING
:
Chinese Name of Relevant Individual
陳紹銘
:
HKMA Registration Number
AG1124
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
18 Jun 2018
No
PERSONAL BANKING
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
18 Jun 2018
No
PERSONAL BANKING
Name of Registered Institution
SFC CE number
Business Address
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
AAI670
33/F, ICBC TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1124
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
Since 18 Jun 2018
No
AG1124
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
Since 18 Jun 2018
No
AG1124
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jan 2018 - 02 May 2018
No
AG1124
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
22 Jan 2018 - 02 May 2018
No
AG1124
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
05 Mar 2016 - 28 Jan 2018
No
AG1124
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
05 Mar 2016 - 28 Jan 2018
No
AG1124
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
12 Aug 2015 - 07 Jan 2016
No
AG1124
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
12 Aug 2015 - 07 Jan 2016
No
AG1124
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
24 Sep 2013 - 10 Jul 2015
No
AG1124
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
24 Sep 2013 - 10 Jul 2015
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.