Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHANG, HO JAE
Chinese Name of Relevant Individual
張瑚宰
HKMA Registration Number
AI6911
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
15 Aug 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
CO-HEAD OF NORTH ASIA, DCM
Remarks
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
15 Aug 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
CO-HEAD OF NORTH ASIA, DCM
Remarks
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
15 Aug 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
CO-HEAD OF NORTH ASIA, DCM
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
SFC CE number
AAL483
Business Address
20/F-22/F, THREE EXCHANGE SQUARE, 8 CONNAUGHT PLACE, CENTRAL, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Effective Date
25 Jul 2023
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
2
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Effective Date
25 Jul 2023
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 25 Jul 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 25 Jul 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 25 Jul 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Aug 2022 - 24 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
15 Aug 2022 - 24 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
15 Aug 2022 - 24 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jun 2021 - 24 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 4: advising on securities
Effective Period
28 Jun 2021 - 24 Jun 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
CHANG, HO JAE
:
Chinese Name of Relevant Individual
張瑚宰
:
HKMA Registration Number
AI6911
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
15 Aug 2022
Yes
CO-HEAD OF NORTH ASIA, DCM
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
15 Aug 2022
Yes
CO-HEAD OF NORTH ASIA, DCM
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 6: advising on corporate finance
15 Aug 2022
Yes
CO-HEAD OF NORTH ASIA, DCM
Name of Registered Institution
SFC CE number
Business Address
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
AAL483
20/F-22/F, THREE EXCHANGE SQUARE, 8 CONNAUGHT PLACE, CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
1
25 Jul 2023
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
2
25 Jul 2023
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI6911
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
Since 25 Jul 2023
Yes
AI6911
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
Since 25 Jul 2023
Yes
AI6911
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 6: advising on corporate finance
Since 25 Jul 2023
Yes
AI6911
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
15 Aug 2022 - 24 Jul 2023
No
AI6911
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
15 Aug 2022 - 24 Jul 2023
No
AI6911
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 6: advising on corporate finance
15 Aug 2022 - 24 Jul 2023
No
AI6911
SOCIETE GENERALE
Type 1: dealing in securities
28 Jun 2021 - 24 Jun 2022
No
AI6911
SOCIETE GENERALE
Type 4: advising on securities
28 Jun 2021 - 24 Jun 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.