Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FANG, TIM
Chinese Name of Relevant Individual
方廷
HKMA Registration Number
AG6830
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
First date of engagement
25 Mar 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR
Remarks
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Mar 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR
Remarks
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
25 Mar 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
SFC CE number
AAK816
Business Address
26/F, 27/F, 28/F & 30/F, TWO PACIFIC PLACE, 88 QUEENSWAY, ADMIRALTY, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Effective Date
21 Jul 2022
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
2
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Effective Date
21 Jul 2022
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 21 Jul 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
Since 21 Jul 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 21 Jul 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Mar 2022 - 20 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
25 Mar 2022 - 20 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 6: advising on corporate finance
Effective Period
25 Mar 2022 - 20 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
03 May 2021 - 29 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
03 May 2021 - 29 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Mar 2015 - 11 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
13 Mar 2015 - 11 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
13 Mar 2015 - 11 Jan 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
FANG, TIM
:
Chinese Name of Relevant Individual
方廷
:
HKMA Registration Number
AG6830
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
25 Mar 2022
Yes
MANAGING DIRECTOR
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
25 Mar 2022
Yes
MANAGING DIRECTOR
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 6: advising on corporate finance
25 Mar 2022
Yes
MANAGING DIRECTOR
Name of Registered Institution
SFC CE number
Business Address
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
AAK816
26/F, 27/F, 28/F & 30/F, TWO PACIFIC PLACE, 88 QUEENSWAY, ADMIRALTY, HONG KONG.
Registered Institution
Effective Date
Description
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
1
21 Jul 2022
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
2
21 Jul 2022
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6830
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
Since 21 Jul 2022
Yes
AG6830
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
Since 21 Jul 2022
Yes
AG6830
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 6: advising on corporate finance
Since 21 Jul 2022
Yes
AG6830
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
25 Mar 2022 - 20 Jul 2022
No
AG6830
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
25 Mar 2022 - 20 Jul 2022
No
AG6830
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 6: advising on corporate finance
25 Mar 2022 - 20 Jul 2022
No
AG6830
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
03 May 2021 - 29 Oct 2021
No
AG6830
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
03 May 2021 - 29 Oct 2021
No
AG6830
UBS AG
Type 1: dealing in securities
13 Mar 2015 - 11 Jan 2018
No
AG6830
UBS AG
Type 4: advising on securities
13 Mar 2015 - 11 Jan 2018
No
AG6830
UBS AG
Type 6: advising on corporate finance
13 Mar 2015 - 11 Jan 2018
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.