Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, LAI KWAN
Chinese Name of Relevant Individual
陳麗君
HKMA Registration Number
AI9017
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
30 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SALES MANAGEMENT
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
30 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SALES MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HANG SENG BANK, LIMITED
SFC CE number
AAH297
Business Address
HANG SENG BANK BLDG., 83 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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 30 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 30 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jul 2023 - 14 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jul 2023 - 14 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Mar 2022 - 11 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Mar 2022 - 11 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Mar 2022 - 11 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
11 Mar 2022 - 11 Jun 2023
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, LAI KWAN
:
Chinese Name of Relevant Individual
陳麗君
:
HKMA Registration Number
AI9017
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HANG SENG BANK, LIMITED
Type 1: dealing in securities
30 Aug 2024
No
SALES MANAGEMENT
HANG SENG BANK, LIMITED
Type 4: advising on securities
30 Aug 2024
No
SALES MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
HANG SENG BANK, LIMITED
AAH297
HANG SENG BANK BLDG., 83 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI9017
HANG SENG BANK, LIMITED
Type 1: dealing in securities
Since 30 Aug 2024
No
AI9017
HANG SENG BANK, LIMITED
Type 4: advising on securities
Since 30 Aug 2024
No
AI9017
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
05 Jul 2023 - 14 Jul 2024
No
AI9017
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
05 Jul 2023 - 14 Jul 2024
No
AI9017
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Mar 2022 - 11 Jun 2023
No
AI9017
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Mar 2022 - 11 Jun 2023
No
AI9017
CITIBANK, N.A.
Type 1: dealing in securities
11 Mar 2022 - 11 Jun 2023
No
AI9017
CITIBANK, N.A.
Type 4: advising on securities
11 Mar 2022 - 11 Jun 2023
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.