Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHEUNG, KA YAN
Chinese Name of Relevant Individual
張嘉欣
HKMA Registration Number
AG2194
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
15 Jul 2019
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
15 Jul 2019
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 15 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 15 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Nov 2017 - 08 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
14 Nov 2017 - 08 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2017 - 27 Oct 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
01 May 2017 - 27 Oct 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 May 2017 - 27 Oct 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
01 May 2017 - 27 Oct 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
13 Jan 2014 - 30 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jan 2014 - 07 Oct 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 9: asset management
Effective Period
13 Jan 2014 - 30 Sep 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
CHEUNG, KA YAN
:
Chinese Name of Relevant Individual
張嘉欣
:
HKMA Registration Number
AG2194
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
15 Jul 2019
No
PRODUCT SPECIALIST
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
15 Jul 2019
No
PRODUCT SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG2194
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 15 Jul 2019
No
AG2194
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 15 Jul 2019
No
AG2194
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
14 Nov 2017 - 08 Jul 2019
No
AG2194
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
14 Nov 2017 - 08 Jul 2019
No
AG2194
LGT BANK AG
Type 1: dealing in securities
01 May 2017 - 27 Oct 2017
No
AG2194
LGT BANK AG
Type 2: dealing in futures contracts
01 May 2017 - 27 Oct 2017
No
AG2194
LGT BANK AG
Type 4: advising on securities
01 May 2017 - 27 Oct 2017
No
AG2194
LGT BANK AG
Type 5: advising on futures contracts
01 May 2017 - 27 Oct 2017
No
AG2194
ABN AMRO BANK N.V.
Type 4: advising on securities
13 Jan 2014 - 30 Apr 2017
No
AG2194
ABN AMRO BANK N.V.
Type 1: dealing in securities
13 Jan 2014 - 07 Oct 2014
No
AG2194
ABN AMRO BANK N.V.
Type 9: asset management
13 Jan 2014 - 30 Sep 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.