Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CAO, SHENG
Chinese Name of Relevant Individual
曹晟
HKMA Registration Number
AG4982
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
12 Sep 2016 - 08 Dec 2016
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
12 Sep 2016 - 08 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Oct 2014 - 10 Jun 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
CAO, SHENG
:
Chinese Name of Relevant Individual
曹晟
:
HKMA Registration Number
AG4982
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4982
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
12 Sep 2016 - 08 Dec 2016
No
AG4982
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
12 Sep 2016 - 08 Dec 2016
No
AG4982
BNP PARIBAS
Type 1: dealing in securities
04 Oct 2014 - 10 Jun 2016
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.