Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHEN, KAI
Chinese Name of Relevant Individual
沈凱
HKMA Registration Number
AG3930
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
First date of engagement
14 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
EXECUTIVE DIRECTOR
Remarks
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
First date of engagement
14 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
EXECUTIVE DIRECTOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
SFC CE number
AAK816
Business Address
26/F, 27/F, 28/F & 30/F, TWO PACIFIC PLACE, 88 QUEENSWAY, ADMIRALTY, 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
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 14 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
Since 14 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
06 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Jul 2014 - 04 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Jul 2014 - 04 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Jul 2014 - 04 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
02 Jul 2014 - 04 Jul 2014
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
SHEN, KAI
:
Chinese Name of Relevant Individual
沈凱
:
HKMA Registration Number
AG3930
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
14 May 2022
No
EXECUTIVE DIRECTOR
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
14 May 2022
No
EXECUTIVE DIRECTOR
Name of Registered Institution
SFC CE number
Business Address
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
AAK816
26/F, 27/F, 28/F & 30/F, TWO PACIFIC PLACE, 88 QUEENSWAY, ADMIRALTY, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3930
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
Since 14 May 2022
No
AG3930
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
Since 14 May 2022
No
AG3930
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
06 Nov 2014
No
AG3930
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
06 Nov 2014
No
AG3930
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
06 Nov 2014
No
AG3930
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
06 Nov 2014
No
AG3930
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
02 Jul 2014 - 04 Jul 2014
No
AG3930
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
02 Jul 2014 - 04 Jul 2014
No
AG3930
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
02 Jul 2014 - 04 Jul 2014
No
AG3930
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
02 Jul 2014 - 04 Jul 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.