Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, SAU KUEN
Chinese Name of Relevant Individual
陳秀娟
HKMA Registration Number
AG8876
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
24 Jul 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CORP BUSINESS MANAGEMENT OFFICER
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
24 Jul 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CORP BUSINESS MANAGEMENT OFFICER
Remarks
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
24 Jul 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CORP BUSINESS MANAGEMENT OFFICER
Remarks
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
24 Jul 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CORP BUSINESS MANAGEMENT OFFICER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
SFC CE number
BJN782
Business Address
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
Name of Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
SFC CE number
AAK782
Business Address
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, 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
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 24 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 24 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 24 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 24 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jan 2017 - 01 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jan 2017 - 01 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jul 2016 - 08 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jul 2016 - 08 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Sep 2015 - 08 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Sep 2015 - 08 Oct 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, SAU KUEN
:
Chinese Name of Relevant Individual
陳秀娟
:
HKMA Registration Number
AG8876
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
24 Jul 2021
No
CORP BUSINESS MANAGEMENT OFFICER
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
24 Jul 2021
No
CORP BUSINESS MANAGEMENT OFFICER
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
24 Jul 2021
No
CORP BUSINESS MANAGEMENT OFFICER
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
24 Jul 2021
No
CORP BUSINESS MANAGEMENT OFFICER
Name of Registered Institution
SFC CE number
Business Address
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
BJN782
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
BANK OF COMMUNICATIONS CO., LTD.
AAK782
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8876
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
Since 24 Jul 2021
No
AG8876
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
Since 24 Jul 2021
No
AG8876
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
Since 24 Jul 2021
No
AG8876
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
Since 24 Jul 2021
No
AG8876
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
11 Jan 2017 - 01 Jul 2020
No
AG8876
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
11 Jan 2017 - 01 Jul 2020
No
AG8876
DBS BANK LTD.
Type 1: dealing in securities
07 Jul 2016 - 08 Oct 2016
No
AG8876
DBS BANK LTD.
Type 4: advising on securities
07 Jul 2016 - 08 Oct 2016
No
AG8876
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Sep 2015 - 08 Oct 2016
No
AG8876
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Sep 2015 - 08 Oct 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.