Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHEN, DAN
Chinese Name of Relevant Individual
陳丹
HKMA Registration Number
AH7123
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
14 Sep 2024
Is an Executive Officer? (Yes / No)
No
Capacity
FINANCIAL MARKET
Remarks
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Sep 2024
Is an Executive Officer? (Yes / No)
No
Capacity
FINANCIAL MARKET
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
SFC CE number
AAI250
Business Address
NANYANG COMMERCIAL BANK BUILDING, 151 DES VOEUX 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
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 14 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 14 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Dec 2021 - 19 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
08 Dec 2021 - 19 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 6: advising on corporate finance
Effective Period
08 Dec 2021 - 19 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ING BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jul 2019 - 16 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIXIS
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Aug 2018 - 12 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIXIS
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Feb 2018 - 12 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIXIS
Regulated Activity
Type 4: advising on securities
Effective Period
15 Feb 2018 - 12 Jun 2019
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
CHEN, DAN
:
Chinese Name of Relevant Individual
陳丹
:
HKMA Registration Number
AH7123
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
14 Sep 2024
No
FINANCIAL MARKET
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
14 Sep 2024
No
FINANCIAL MARKET
Name of Registered Institution
SFC CE number
Business Address
NANYANG COMMERCIAL BANK, LIMITED
AAI250
NANYANG COMMERCIAL BANK BUILDING, 151 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH7123
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
Since 14 Sep 2024
No
AH7123
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
Since 14 Sep 2024
No
AH7123
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
08 Dec 2021 - 19 Apr 2024
No
AH7123
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
08 Dec 2021 - 19 Apr 2024
No
AH7123
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 6: advising on corporate finance
08 Dec 2021 - 19 Apr 2024
No
AH7123
ING BANK N.V.
Type 1: dealing in securities
10 Jul 2019 - 16 Dec 2020
No
AH7123
NATIXIS
Type 6: advising on corporate finance
01 Aug 2018 - 12 Jun 2019
No
AH7123
NATIXIS
Type 1: dealing in securities
15 Feb 2018 - 12 Jun 2019
No
AH7123
NATIXIS
Type 4: advising on securities
15 Feb 2018 - 12 Jun 2019
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.