Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HUMPLEBY, CHARLES DAVID
Chinese Name of Relevant Individual
HKMA Registration Number
AG5186
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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jan 2017 - 14 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
13 Jan 2017 - 14 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jun 2016 - 22 Aug 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
21 Jun 2016 - 22 Aug 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Oct 2014 - 20 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
18 Oct 2014 - 20 Jun 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
HUMPLEBY, CHARLES DAVID
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG5186
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5186
LGT BANK AG
Type 1: dealing in securities
13 Jan 2017 - 14 Aug 2018
No
AG5186
LGT BANK AG
Type 4: advising on securities
13 Jan 2017 - 14 Aug 2018
No
AG5186
ABN AMRO BANK N.V.
Type 1: dealing in securities
21 Jun 2016 - 22 Aug 2016
Yes
AG5186
ABN AMRO BANK N.V.
Type 4: advising on securities
21 Jun 2016 - 22 Aug 2016
Yes
AG5186
ABN AMRO BANK N.V.
Type 1: dealing in securities
18 Oct 2014 - 20 Jun 2016
No
AG5186
ABN AMRO BANK N.V.
Type 4: advising on securities
18 Oct 2014 - 20 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.