Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHENG, YUE KWAN KAREN
Chinese Name of Relevant Individual
鄭如君
HKMA Registration Number
AG4498
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
First date of engagement
25 Feb 2025
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Feb 2025
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
ROYAL BANK OF CANADA
SFC CE number
AAE727
Business Address
41ST AND 42ND FLOOR, ONE TAIKOO PLACE, TAI KOO PLACE, 979 KING'S ROAD, QUARRY BAY, 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
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 25 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
Since 25 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jul 2020 - 11 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Aug 2014 - 21 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
18 Aug 2014 - 21 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Aug 2014 - 21 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Aug 2014 - 21 Apr 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
CHENG, YUE KWAN KAREN
:
Chinese Name of Relevant Individual
鄭如君
:
HKMA Registration Number
AG4498
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
ROYAL BANK OF CANADA
Type 1: dealing in securities
25 Feb 2025
No
PRIVATE BANKING
ROYAL BANK OF CANADA
Type 4: advising on securities
25 Feb 2025
No
PRIVATE BANKING
Name of Registered Institution
SFC CE number
Business Address
ROYAL BANK OF CANADA
AAE727
41ST AND 42ND FLOOR, ONE TAIKOO PLACE, TAI KOO PLACE, 979 KING'S ROAD, QUARRY BAY, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4498
ROYAL BANK OF CANADA
Type 1: dealing in securities
Since 25 Feb 2025
No
AG4498
ROYAL BANK OF CANADA
Type 4: advising on securities
Since 25 Feb 2025
No
AG4498
UBS AG
Type 1: dealing in securities
08 Jul 2020 - 11 Feb 2025
No
AG4498
CITIBANK, N.A.
Type 1: dealing in securities
18 Aug 2014 - 21 Apr 2017
No
AG4498
CITIBANK, N.A.
Type 4: advising on securities
18 Aug 2014 - 21 Apr 2017
No
AG4498
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
18 Aug 2014 - 21 Apr 2017
No
AG4498
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
18 Aug 2014 - 21 Apr 2017
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.