Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, KA YAN
Chinese Name of Relevant Individual
廖嘉欣
HKMA Registration Number
AH6306
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
06 Jan 2026
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Jan 2026
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
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 06 Jan 2026
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 06 Jan 2026
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
21 Nov 2018 - 09 Nov 2025
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
21 Nov 2018 - 09 Nov 2025
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
21 Nov 2018 - 09 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 May 2018 - 24 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
10 May 2018 - 24 Oct 2018
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
09 Nov 2017 - 21 Feb 2018
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
09 Nov 2017 - 21 Feb 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
LIU, KA YAN
:
Chinese Name of Relevant Individual
廖嘉欣
:
HKMA Registration Number
AH6306
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
06 Jan 2026
No
RELATIONSHIP MANAGEMENT
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
06 Jan 2026
No
RELATIONSHIP MANAGEMENT
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)
AH6306
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 06 Jan 2026
No
AH6306
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 06 Jan 2026
No
AH6306
HANG SENG BANK, LIMITED
Type 1: dealing in securities
21 Nov 2018 - 09 Nov 2025
No
AH6306
HANG SENG BANK, LIMITED
Type 4: advising on securities
21 Nov 2018 - 09 Nov 2025
No
AH6306
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
21 Nov 2018 - 09 Nov 2025
No
AH6306
DAH SING BANK, LIMITED
Type 1: dealing in securities
10 May 2018 - 24 Oct 2018
No
AH6306
DAH SING BANK, LIMITED
Type 4: advising on securities
10 May 2018 - 24 Oct 2018
No
AH6306
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Nov 2017 - 21 Feb 2018
No
AH6306
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Nov 2017 - 21 Feb 2018
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.