Register of Securities Staff of AIs

The Register of Securities Staff of AIs is a database of current and former relevant individuals, i.e. current and former staff of authorized institutions engaging in securities business and/or other regulated activities, as defined under the Securities and Futures Ordinance, in Hong Kong (See "Supervisory Policy Manual SB-1 Supervision of regulated activities of SFC-registered authorized institutions" posted on the HKMA website for further information).

It is a statutory condition of registration that authorized institutions must ensure that their relevant individuals are fit and proper to be so engaged.  Pursuant to section 20(4A) of the Banking Ordinance, the purposes of this Register are to enable any member of the public to ascertain whether he is dealing with a fit and proper person in relation to any regulated activity and to ascertain the registration particulars of such persons.

As required by the Personal Data (Privacy) Ordinance, you may only use the information provided in this Register for the specified purposes as set out above.

The HKMA Register contains, among other things, records of public disciplinary actions (if any) taken by the SFC and/or the HKMA against relevant individuals.  Such records are kept in the Register for a period of 5 years from the date when the disciplinary action takes effect.

By publishing this Register, the HKMA does not guarantee the performance or creditworthiness of any relevant individual or authorized institution.

 

 

API Detailed Documentation

API URL:

https://api.hkma.gov.hk/public/bank-svf-info/register-ais-secstaff?lang=en

API Data Enquiry

Request Parameters (Mandatory)

Parameter Name Description
lang To Input the language selected to output.
Format: lang=(en|tc)
Example: lang=en
searchtype To input the search type and according to selected search type, you need to input different parameter.
Format: searchtype=(engName/chiName/regNo)

engName: search by securities staff English name
Example: searchtype=engName&surname=chan&forename=tai man&is_curr_rel_indiv=0
Input parameter: (surname, forename, is_curr_rel_indiv)
surname: To input the surname of securities staff(either surname or/and forename for English name only)
forename: To input the forename of securities staff(either surname or/and forename for English name only)
is_curr_rel_indiv: To input current relevant individuals/current and former relevant individuals(must choose one)
0 – current relevant individuals
1 - current and former relevant individuals

chiName: search by securities staff Chinese name
Example: searchtype=chiName&chinesename=陳大文&is_curr_rel_indiv=0
Input parameter: (chinesename, is_curr_rel_indiv)
chinesename: (for Chinese name only)
is_curr_rel_indiv: To input current relevant individuals/current and former relevant individuals(must choose one)
0 – current relevant individuals
1 - current and former relevant individuals

regNo: search by HKMA registration number
Example: searchtype=regNo&reg_code=AB0000&is_curr_rel_indiv=0
Input parameter: (reg_code, is_curr_rel_indiv)
reg_code: To input the HKMA registration number(mandatory)
is_curr_rel_indiv: To input current relevant individuals/current and former relevant individuals(must choose one)
0 – current relevant individuals
1 - current and former relevant individuals

Output Fields (JSON)

Swagger Format
Name Type Description
nameStringName of Relevant Individual
name_tcStringChinese Name of Relevant Individual
reg_codeStringHKMA Registration Number
current_registrationArrayCurrent Registration
reg_inst_nameStringRegistered Institution
reg_actStringRegulated Activity
eng_first_dateStringFirst date of engagement
is_eoStringIs an Executive Officer? (Yes / No)
capacityStringCapacity
remarksStringRemarks
business_addressArrayBusiness Address
reg_inst_nameStringName of Registered Institution
sfc_ce_numStringSFC CE number
business_addressStringBusiness Address
conditionsArrayConditions
reg_inst_nameStringRegistered Institution
effective_dateStringEffective Date
descriptionStringDescription
registration_historyArrayRegistration History
reg_codeStringHKMA Registration Number
reg_inst_nameStringRegistered Institution
reg_actStringRegulated Activity
effective_periodStringEffective Period
is_eoStringIs an Executive Officer? (Yes / No)
public_disciplinary_actionArrayPublic Disciplinary Actions
rec_pub_dis_act_by_sfcArrayRecords of public disciplinary actions taken against the relevant individual by the SFC
action_dateStringAction Date
action_takenStringAction Taken
pr_enStringEnglish Press Release Download
pr_tcStringChinese Press Release Download
rec_pub_dis_act_by_hkmaArrayRecords of public disciplinary actions taken against the relevant individual by the HKMA
action_dateStringAction Date
action_takenStringAction Taken
pr_enStringEnglish Press Release Download
pr_tcStringChinese Press Release Download

API Examples

Javascript Example

  
$.ajax({

url: 'https://api.hkma.gov.hk/public/bank-svf-info/register-ais-secstaff?lang=en',

dataType:'json',

success:function(data){

alert('results found:'+ data.result.datasize)

}

});

Python Example

  
import urllib.request

url = 'https://api.hkma.gov.hk/public/bank-svf-info/register-ais-secstaff?lang=en'

with urllib.request.urlopen (url) as req:

print (req.read())

How to use the APIs

To learn more, please visit API documentation.