Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, CHEUK YIN
Chinese Name of Relevant Individual
陳卓然
HKMA Registration Number
AI3613
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
First date of engagement
11 Feb 2023
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR, PORTFOLIO MANAGER
Remarks
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Feb 2023
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR, PORTFOLIO MANAGER
Remarks
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 9: asset management
First date of engagement
11 Feb 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
PORTFOLIO MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
ROYAL BANK OF CANADA
SFC CE number
AAE727
Business Address
41ST AND 42ND FLOOR, ONE TAIKOO PLACE, TAI KOO PLACE, 979 KING'S ROAD, QUARRY BAY, HONG KONG
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
ROYAL BANK OF CANADA
Effective Date
20 Apr 2023
Description
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 9: asset management
Effective Period
Since 20 Apr 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
Since 11 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 9: asset management
Effective Period
11 Feb 2023 - 19 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
11 Jul 2022 - 27 Jan 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Jan 2020 - 27 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
02 Jan 2020 - 27 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
02 Jan 2020 - 10 Jul 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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, CHEUK YIN
:
Chinese Name of Relevant Individual
陳卓然
:
HKMA Registration Number
AI3613
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
ROYAL BANK OF CANADA
Type 1: dealing in securities
11 Feb 2023
No
DIRECTOR, PORTFOLIO MANAGER
ROYAL BANK OF CANADA
Type 4: advising on securities
11 Feb 2023
No
DIRECTOR, PORTFOLIO MANAGER
ROYAL BANK OF CANADA
Type 9: asset management
11 Feb 2023
Yes
PORTFOLIO MANAGER
Name of Registered Institution
SFC CE number
Business Address
ROYAL BANK OF CANADA
AAE727
41ST AND 42ND FLOOR, ONE TAIKOO PLACE, TAI KOO PLACE, 979 KING'S ROAD, QUARRY BAY, HONG KONG
Registered Institution
Effective Date
Description
ROYAL BANK OF CANADA
1
20 Apr 2023
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI3613
ROYAL BANK OF CANADA
Type 9: asset management
Since 20 Apr 2023
Yes
AI3613
ROYAL BANK OF CANADA
Type 1: dealing in securities
Since 11 Feb 2023
No
AI3613
ROYAL BANK OF CANADA
Type 4: advising on securities
Since 11 Feb 2023
No
AI3613
ROYAL BANK OF CANADA
Type 9: asset management
11 Feb 2023 - 19 Apr 2023
No
AI3613
UBS AG
Type 9: asset management
11 Jul 2022 - 27 Jan 2023
Yes
AI3613
UBS AG
Type 1: dealing in securities
02 Jan 2020 - 27 Jan 2023
No
AI3613
UBS AG
Type 4: advising on securities
02 Jan 2020 - 27 Jan 2023
No
AI3613
UBS AG
Type 9: asset management
02 Jan 2020 - 10 Jul 2022
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.