Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
OU, DI
Chinese Name of Relevant Individual
HKMA Registration Number
AG3178
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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Oct 2019 - 10 Oct 2019
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
04 Oct 2019 - 10 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
04 Oct 2019 - 10 Oct 2019
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
02 Jul 2019 - 05 Jul 2019
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
02 Jul 2019 - 05 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
02 Jul 2019 - 05 Jul 2019
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
17 May 2019
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
17 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
17 May 2019
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
09 Jan 2018 - 11 Jan 2018
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
09 Jan 2018 - 11 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
09 Jan 2018 - 11 Jan 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
16 Nov 2017 - 17 Nov 2017
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
16 Nov 2017 - 17 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
16 Nov 2017 - 17 Nov 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 30
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
OU, DI
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG3178
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Oct 2019 - 10 Oct 2019
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Oct 2019 - 10 Oct 2019
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
04 Oct 2019 - 10 Oct 2019
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
02 Jul 2019 - 05 Jul 2019
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
02 Jul 2019 - 05 Jul 2019
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
02 Jul 2019 - 05 Jul 2019
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 May 2019
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
17 May 2019
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
17 May 2019
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Jan 2018 - 11 Jan 2018
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Jan 2018 - 11 Jan 2018
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
09 Jan 2018 - 11 Jan 2018
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Nov 2017 - 17 Nov 2017
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Nov 2017 - 17 Nov 2017
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
16 Nov 2017 - 17 Nov 2017
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 May 2017 - 17 May 2017
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 May 2017 - 17 May 2017
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
16 May 2017 - 17 May 2017
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
13 Jul 2015
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
13 Jul 2015
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
13 Jul 2015
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
02 Feb 2015 - 06 Feb 2015
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
02 Feb 2015 - 06 Feb 2015
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
02 Feb 2015 - 06 Feb 2015
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Jun 2014 - 20 Jun 2014
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Jun 2014 - 20 Jun 2014
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
16 Jun 2014 - 20 Jun 2014
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Apr 2014 - 25 Apr 2014
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Apr 2014 - 25 Apr 2014
No
AG3178
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
21 Apr 2014 - 25 Apr 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.