Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, WING CHI
Chinese Name of Relevant Individual
陳頴芝
HKMA Registration Number
AH3170
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
14 Jun 2022
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE DIRECTOR, FINANCIAL PLANNING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Jun 2022
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE DIRECTOR, FINANCIAL PLANNING
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 14 Jun 2022
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 14 Jun 2022
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
01 Jan 2021 - 27 Apr 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
01 Jan 2021 - 27 Apr 2022
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
14 Nov 2017 - 30 Nov 2020
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
14 Nov 2017 - 30 Nov 2020
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
13 Feb 2017 - 02 Sep 2017
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
13 Feb 2017 - 02 Sep 2017
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
08 Nov 2016 - 01 Feb 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
08 Nov 2016 - 01 Feb 2017
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, WING CHI
:
Chinese Name of Relevant Individual
陳頴芝
:
HKMA Registration Number
AH3170
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
14 Jun 2022
No
ASSOCIATE DIRECTOR, FINANCIAL PLANNING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
14 Jun 2022
No
ASSOCIATE DIRECTOR, FINANCIAL PLANNING
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)
AH3170
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 14 Jun 2022
No
AH3170
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 14 Jun 2022
No
AH3170
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jan 2021 - 27 Apr 2022
No
AH3170
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jan 2021 - 27 Apr 2022
No
AH3170
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
14 Nov 2017 - 30 Nov 2020
No
AH3170
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
14 Nov 2017 - 30 Nov 2020
No
AH3170
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
13 Feb 2017 - 02 Sep 2017
No
AH3170
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
13 Feb 2017 - 02 Sep 2017
No
AH3170
HANG SENG BANK, LIMITED
Type 1: dealing in securities
08 Nov 2016 - 01 Feb 2017
No
AH3170
HANG SENG BANK, LIMITED
Type 4: advising on securities
08 Nov 2016 - 01 Feb 2017
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.