Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
IP, FUNG KI
Chinese Name of Relevant Individual
葉鳳琪
HKMA Registration Number
AG9499
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
01 Aug 2023
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
01 Aug 2023
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 9: asset management
First date of engagement
01 Aug 2023
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 01 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 01 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 9: asset management
Effective Period
Since 01 Aug 2023
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
08 Oct 2021 - 09 Dec 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
08 Oct 2021 - 09 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Oct 2021 - 09 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Oct 2021 - 09 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Sep 2017 - 31 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
07 Sep 2017 - 31 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Oct 2015 - 21 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
27 Oct 2015 - 21 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Oct 2015 - 15 Nov 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
IP, FUNG KI
:
Chinese Name of Relevant Individual
葉鳳琪
:
HKMA Registration Number
AG9499
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Aug 2023
No
PRODUCT SPECIALIST
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Aug 2023
No
PRODUCT SPECIALIST
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 9: asset management
01 Aug 2023
No
PRODUCT SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9499
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 01 Aug 2023
No
AG9499
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 01 Aug 2023
No
AG9499
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 9: asset management
Since 01 Aug 2023
No
AG9499
CITIBANK, N.A.
Type 1: dealing in securities
08 Oct 2021 - 09 Dec 2022
No
AG9499
CITIBANK, N.A.
Type 4: advising on securities
08 Oct 2021 - 09 Dec 2022
No
AG9499
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
08 Oct 2021 - 09 Dec 2022
No
AG9499
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
08 Oct 2021 - 09 Dec 2022
No
AG9499
UBS AG
Type 1: dealing in securities
07 Sep 2017 - 31 Aug 2021
No
AG9499
UBS AG
Type 4: advising on securities
07 Sep 2017 - 31 Aug 2021
No
AG9499
HANG SENG BANK, LIMITED
Type 1: dealing in securities
27 Oct 2015 - 21 Jul 2017
No
AG9499
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
27 Oct 2015 - 21 Jul 2017
No
AG9499
HANG SENG BANK, LIMITED
Type 4: advising on securities
27 Oct 2015 - 15 Nov 2015
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.