Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NGAN, KIM MAN
Chinese Name of Relevant Individual
顏劍文
HKMA Registration Number
AH1133
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
20 May 2025
Is an Executive Officer? (Yes / No)
Yes
Capacity
CHIEF OF TREASURY
Remarks
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
20 May 2025
Is an Executive Officer? (Yes / No)
Yes
Capacity
CHIEF OF TREASURY
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
SFC CE number
AAJ281
Business Address
SHANGHAI COMMERCIAL BANK TOWER, 12 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
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 Nov 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 11 Nov 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 May 2025 - 10 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 May 2025 - 10 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Sep 2022 - 01 May 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
29 Sep 2022 - 01 May 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Apr 2016 - 28 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
04 Apr 2016 - 28 Sep 2022
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
NGAN, KIM MAN
:
Chinese Name of Relevant Individual
顏劍文
:
HKMA Registration Number
AH1133
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
20 May 2025
Yes
CHIEF OF TREASURY
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
20 May 2025
Yes
CHIEF OF TREASURY
Name of Registered Institution
SFC CE number
Business Address
SHANGHAI COMMERCIAL BANK LIMITED
AAJ281
SHANGHAI COMMERCIAL BANK TOWER, 12 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1133
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
Since 11 Nov 2025
Yes
AH1133
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
Since 11 Nov 2025
Yes
AH1133
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
20 May 2025 - 10 Nov 2025
No
AH1133
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
20 May 2025 - 10 Nov 2025
No
AH1133
CHINA EVERBRIGHT BANK CO., LTD.
Type 1: dealing in securities
29 Sep 2022 - 01 May 2025
Yes
AH1133
CHINA EVERBRIGHT BANK CO., LTD.
Type 4: advising on securities
29 Sep 2022 - 01 May 2025
Yes
AH1133
CHINA EVERBRIGHT BANK CO., LTD.
Type 1: dealing in securities
04 Apr 2016 - 28 Sep 2022
No
AH1133
CHINA EVERBRIGHT BANK CO., LTD.
Type 4: advising on securities
04 Apr 2016 - 28 Sep 2022
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.