Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHOW, CHI YAN
Chinese Name of Relevant Individual
周慈恩
HKMA Registration Number
AG4369
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Oct 2024 - 27 Feb 2025
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
19 Oct 2024 - 27 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Dec 2022 - 07 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
15 Dec 2022 - 07 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
15 Dec 2022 - 07 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jun 2022 - 31 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 Jun 2022 - 31 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 Jun 2018 - 28 Feb 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jul 2016 - 28 Feb 2022
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
31 Oct 2015 - 12 Jun 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
31 Oct 2015 - 12 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Aug 2014 - 17 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Aug 2014 - 17 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
08 Aug 2014 - 17 Oct 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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
CHOW, CHI YAN
:
Chinese Name of Relevant Individual
周慈恩
:
HKMA Registration Number
AG4369
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4369
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
19 Oct 2024 - 27 Feb 2025
No
AG4369
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
19 Oct 2024 - 27 Feb 2025
No
AG4369
HANG SENG BANK, LIMITED
Type 1: dealing in securities
15 Dec 2022 - 07 Jun 2023
No
AG4369
HANG SENG BANK, LIMITED
Type 4: advising on securities
15 Dec 2022 - 07 Jun 2023
No
AG4369
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
15 Dec 2022 - 07 Jun 2023
No
AG4369
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
29 Jun 2022 - 31 Oct 2022
No
AG4369
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
29 Jun 2022 - 31 Oct 2022
No
AG4369
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
12 Jun 2018 - 28 Feb 2022
No
AG4369
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
29 Jul 2016 - 28 Feb 2022
No
AG4369
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
31 Oct 2015 - 12 Jun 2016
No
AG4369
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
31 Oct 2015 - 12 Jun 2016
No
AG4369
HANG SENG BANK, LIMITED
Type 1: dealing in securities
08 Aug 2014 - 17 Oct 2015
No
AG4369
HANG SENG BANK, LIMITED
Type 4: advising on securities
08 Aug 2014 - 17 Oct 2015
No
AG4369
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
08 Aug 2014 - 17 Oct 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.