Register of Securities Staff of AIs
Last updated on 06/09/2024
Name of Relevant Individual
SHIU, LOK HIN
Chinese Name of Relevant Individual
蕭諾軒
HKMA Registration Number
AI9539
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
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Jun 2022 - 11 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Jun 2022 - 11 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jun 2022 - 11 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jun 2022 - 11 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jun 2022 - 11 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jun 2022 - 11 Aug 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
SHIU, LOK HIN
:
Chinese Name of Relevant Individual
蕭諾軒
:
HKMA Registration Number
AI9539
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI9539
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
25 Jun 2022 - 11 Aug 2024
No
AI9539
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
25 Jun 2022 - 11 Aug 2024
No
AI9539
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
11 Jun 2022 - 11 Aug 2024
No
AI9539
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
11 Jun 2022 - 11 Aug 2024
No
AI9539
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
09 Jun 2022 - 11 Aug 2024
No
AI9539
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
09 Jun 2022 - 11 Aug 2024
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.