Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, TSZ HIM
Chinese Name of Relevant Individual
陳子謙
HKMA Registration Number
AG9462
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
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2023 - 29 Feb 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2023 - 29 Feb 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Nov 2022 - 27 Aug 2023
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
15 Nov 2022 - 27 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Feb 2021 - 31 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Feb 2021 - 31 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Feb 2021 - 31 Mar 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
20 Feb 2021 - 31 Mar 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Mar 2018 - 28 Nov 2020
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
29 Mar 2018 - 28 Nov 2020
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
02 Aug 2017 - 18 Mar 2018
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
02 Aug 2017 - 18 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Aug 2016 - 14 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Aug 2016 - 14 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Oct 2015 - 12 Jul 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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, TSZ HIM
:
Chinese Name of Relevant Individual
陳子謙
:
HKMA Registration Number
AG9462
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9462
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
30 Sep 2023 - 29 Feb 2024
No
AG9462
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
30 Sep 2023 - 29 Feb 2024
No
AG9462
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
15 Nov 2022 - 27 Aug 2023
No
AG9462
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
15 Nov 2022 - 27 Aug 2023
No
AG9462
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Feb 2021 - 31 Oct 2022
No
AG9462
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Feb 2021 - 31 Oct 2022
No
AG9462
CITIBANK, N.A.
Type 1: dealing in securities
20 Feb 2021 - 31 Mar 2022
No
AG9462
CITIBANK, N.A.
Type 4: advising on securities
20 Feb 2021 - 31 Mar 2022
No
AG9462
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
29 Mar 2018 - 28 Nov 2020
No
AG9462
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
29 Mar 2018 - 28 Nov 2020
No
AG9462
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
02 Aug 2017 - 18 Mar 2018
No
AG9462
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
02 Aug 2017 - 18 Mar 2018
No
AG9462
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
25 Aug 2016 - 14 Jul 2017
No
AG9462
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
25 Aug 2016 - 14 Jul 2017
No
AG9462
CHONG HING BANK LIMITED
Type 1: dealing in securities
23 Oct 2015 - 12 Jul 2016
No
AG9462
CHONG HING BANK LIMITED
Type 4: advising on securities
23 Oct 2015 - 12 Jul 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.