Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HEM, PHILA
Chinese Name of Relevant Individual
陳小琪
HKMA Registration Number
AH9922
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
24 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
CREDIT TRADING
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
24 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
CREDIT TRADING
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
24 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
CREDIT TRADING
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
24 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
CREDIT TRADING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 24 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
Since 24 Jul 2025
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
Since 24 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 5: advising on futures contracts
Effective Period
Since 24 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
17 Dec 2021 - 30 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 5: advising on futures contracts
Effective Period
17 Dec 2021 - 30 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jan 2019 - 30 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jan 2019 - 30 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Nov 2018 - 30 Oct 2024
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
06 Nov 2018 - 30 Oct 2024
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
HEM, PHILA
:
Chinese Name of Relevant Individual
陳小琪
:
HKMA Registration Number
AH9922
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
24 Jul 2025
No
CREDIT TRADING
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 2: dealing in futures contracts
24 Jul 2025
No
CREDIT TRADING
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
24 Jul 2025
No
CREDIT TRADING
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 5: advising on futures contracts
24 Jul 2025
No
CREDIT TRADING
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH9922
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 24 Jul 2025
No
AH9922
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 2: dealing in futures contracts
Since 24 Jul 2025
No
AH9922
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 24 Jul 2025
No
AH9922
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 5: advising on futures contracts
Since 24 Jul 2025
No
AH9922
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 2: dealing in futures contracts
17 Dec 2021 - 30 Oct 2024
No
AH9922
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 5: advising on futures contracts
17 Dec 2021 - 30 Oct 2024
No
AH9922
HSBC BANK PLC
Type 1: dealing in securities
24 Jan 2019 - 30 Oct 2024
No
AH9922
HSBC BANK PLC
Type 4: advising on securities
24 Jan 2019 - 30 Oct 2024
No
AH9922
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
06 Nov 2018 - 30 Oct 2024
No
AH9922
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
06 Nov 2018 - 30 Oct 2024
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.