Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, KA WAI
Chinese Name of Relevant Individual
陳嘉威
HKMA Registration Number
AG5992
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
CTBC BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Dec 2021 - 30 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
18 Dec 2021 - 30 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Apr 2016 - 30 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
11 Apr 2016 - 30 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 9: asset management
Effective Period
11 Apr 2016 - 30 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jan 2015 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jan 2015 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 9: asset management
Effective Period
07 Jan 2015 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
CHAN, KA WAI
:
Chinese Name of Relevant Individual
陳嘉威
:
HKMA Registration Number
AG5992
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5992
CTBC BANK CO., LTD.
Type 1: dealing in securities
18 Dec 2021 - 30 Aug 2024
No
AG5992
CTBC BANK CO., LTD.
Type 4: advising on securities
18 Dec 2021 - 30 Aug 2024
No
AG5992
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
11 Apr 2016 - 30 Nov 2021
No
AG5992
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
11 Apr 2016 - 30 Nov 2021
No
AG5992
UNION BANCAIRE PRIVÉE, UBP SA
Type 9: asset management
11 Apr 2016 - 30 Nov 2021
No
AG5992
COUTTS & CO AG
Type 1: dealing in securities
07 Jan 2015 - 08 Apr 2016
No
AG5992
COUTTS & CO AG
Type 4: advising on securities
07 Jan 2015 - 08 Apr 2016
No
AG5992
COUTTS & CO AG
Type 9: asset management
07 Jan 2015 - 08 Apr 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.