Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAN, KA JIE
Chinese Name of Relevant Individual
HKMA Registration Number
AJ1723
Current Registration
Not Applicable
Business Address
Not Applicable
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
TORONTO-DOMINION BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Mar 2025 - 26 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TORONTO-DOMINION BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Apr 2024 - 12 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TORONTO-DOMINION BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Mar 2023 - 07 Mar 2023
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
TAN, KA JIE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AJ1723
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ1723
TORONTO-DOMINION BANK
Type 1: dealing in securities
23 Mar 2025 - 26 Mar 2025
No
AJ1723
TORONTO-DOMINION BANK
Type 1: dealing in securities
07 Apr 2024 - 12 Apr 2024
No
AJ1723
TORONTO-DOMINION BANK
Type 1: dealing in securities
06 Mar 2023 - 07 Mar 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.