Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SAW, PENG CHIN
Chinese Name of Relevant Individual
苏炳进
HKMA Registration Number
AH6526
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
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Dec 2017 - 03 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
04 Dec 2017 - 03 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 9: asset management
Effective Period
04 Dec 2017 - 03 Jun 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
SAW, PENG CHIN
:
Chinese Name of Relevant Individual
苏炳进
:
HKMA Registration Number
AH6526
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH6526
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
04 Dec 2017 - 03 Jun 2018
No
AH6526
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
04 Dec 2017 - 03 Jun 2018
No
AH6526
CA INDOSUEZ (SWITZERLAND) SA
Type 9: asset management
04 Dec 2017 - 03 Jun 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.