Register of Securities Staff of AIs

Last updated on 18/06/2026
< SEARCH AGAIN
Name of Relevant Individual
CAO, CHEN
Chinese Name of Relevant Individual

曹辰
HKMA Registration Number
AJ3390
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
21 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF PORTFOLIO MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
21 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF PORTFOLIO MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
21 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF PORTFOLIO MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
21 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF PORTFOLIO MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 9: asset management
First date of engagement
21 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF PORTFOLIO MANAGEMENT
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
CAO, CHEN
:
Chinese Name of Relevant Individual
曹辰
:
HKMA Registration Number
AJ3390
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
21 Oct 2023
No
STAFF OF PORTFOLIO MANAGEMENT
LGT BANK AG
Type 2: dealing in futures contracts
21 Oct 2023
No
STAFF OF PORTFOLIO MANAGEMENT
LGT BANK AG
Type 4: advising on securities
21 Oct 2023
No
STAFF OF PORTFOLIO MANAGEMENT
LGT BANK AG
Type 5: advising on futures contracts
21 Oct 2023
No
STAFF OF PORTFOLIO MANAGEMENT
LGT BANK AG
Type 9: asset management
21 Oct 2023
No
STAFF OF PORTFOLIO MANAGEMENT