Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHIA, SHAW MING
Chinese Name of Relevant Individual
佘紹銘
HKMA Registration Number
AG4204
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
ING BANK N.V.
Regulated Activity
Type 1: dealing in securities
First date of engagement
27 Jun 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF CORPORATE FINANCE, HONG KONG & CHINA
Remarks
Registered Institution
ING BANK N.V.
Regulated Activity
Type 4: advising on securities
First date of engagement
27 Jun 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF CORPORATE FINANCE, HONG KONG & CHINA
Remarks
Registered Institution
ING BANK N.V.
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
27 Jun 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF CORPORATE FINANCE, HONG KONG & CHINA
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
ING BANK N.V.
SFC CE number
AAI460
Business Address
8TH FLOOR, THREE PACIFIC PLACE, 1 QUEEN'S ROAD EAST, HONG KONG
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
ING BANK N.V.
Effective Date
27 Jun 2022
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
2
Registered Institution
ING BANK N.V.
Effective Date
27 Jun 2022
Description
For Type 6 regulated activity, the Executive Officer must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission, act together with another adviser (to the client) not subject to a similar condition.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
ING BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 27 Jun 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
ING BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 27 Jun 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
ING BANK N.V.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 27 Jun 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jun 2018 - 17 Jun 2022
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
28 Jun 2018 - 17 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
28 Jun 2018 - 17 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Jul 2014 - 17 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
25 Jul 2014 - 17 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
25 Jul 2014 - 17 Jun 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
CHIA, SHAW MING
:
Chinese Name of Relevant Individual
佘紹銘
:
HKMA Registration Number
AG4204
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
ING BANK N.V.
Type 1: dealing in securities
27 Jun 2022
Yes
HEAD OF CORPORATE FINANCE, HONG KONG & CHINA
ING BANK N.V.
Type 4: advising on securities
27 Jun 2022
Yes
HEAD OF CORPORATE FINANCE, HONG KONG & CHINA
ING BANK N.V.
Type 6: advising on corporate finance
27 Jun 2022
Yes
HEAD OF CORPORATE FINANCE, HONG KONG & CHINA
Name of Registered Institution
SFC CE number
Business Address
ING BANK N.V.
AAI460
8TH FLOOR, THREE PACIFIC PLACE, 1 QUEEN'S ROAD EAST, HONG KONG
Registered Institution
Effective Date
Description
ING BANK N.V.
1
27 Jun 2022
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
ING BANK N.V.
2
27 Jun 2022
For Type 6 regulated activity, the Executive Officer must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission, act together with another adviser (to the client) not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4204
ING BANK N.V.
Type 1: dealing in securities
Since 27 Jun 2022
Yes
AG4204
ING BANK N.V.
Type 4: advising on securities
Since 27 Jun 2022
Yes
AG4204
ING BANK N.V.
Type 6: advising on corporate finance
Since 27 Jun 2022
Yes
AG4204
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 Jun 2018 - 17 Jun 2022
No
AG4204
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 Jun 2018 - 17 Jun 2022
No
AG4204
DBS BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
28 Jun 2018 - 17 Jun 2022
No
AG4204
DBS BANK LTD.
Type 1: dealing in securities
25 Jul 2014 - 17 Jun 2022
No
AG4204
DBS BANK LTD.
Type 4: advising on securities
25 Jul 2014 - 17 Jun 2022
No
AG4204
DBS BANK LTD.
Type 6: advising on corporate finance
25 Jul 2014 - 17 Jun 2022
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.