Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HO, HOI CHUNG SAM
Chinese Name of Relevant Individual
何凱頌
HKMA Registration Number
AA1131
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
23 Nov 2013
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR, PROTECTION & LEGACY PLANNING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
23 Nov 2013
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR, PROTECTION & LEGACY PLANNING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 23 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 23 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Jun 2013 - 06 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Jun 2013 - 06 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Mar 2013 - 03 Jun 2013
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
15 Mar 2013 - 03 Jun 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
15 Mar 2013 - 03 Jun 2013
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
04 Mar 2008 - 29 Jan 2013
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
04 Mar 2008 - 29 Jan 2013
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
27 Nov 2003 - 06 Jan 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Sep 2003 - 06 Jan 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
04 Sep 2003 - 06 Jan 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 11 Aug 2003
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 11 Aug 2003
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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
HO, HOI CHUNG SAM
:
Chinese Name of Relevant Individual
何凱頌
:
HKMA Registration Number
AA1131
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
23 Nov 2013
No
DIRECTOR, PROTECTION & LEGACY PLANNING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
23 Nov 2013
No
DIRECTOR, PROTECTION & LEGACY PLANNING
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1131
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 23 Nov 2013
No
AA1131
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 23 Nov 2013
No
AA1131
DAH SING BANK, LIMITED
Type 1: dealing in securities
25 Jun 2013 - 06 Oct 2013
No
AA1131
DAH SING BANK, LIMITED
Type 4: advising on securities
25 Jun 2013 - 06 Oct 2013
No
AA1131
HANG SENG BANK, LIMITED
Type 1: dealing in securities
15 Mar 2013 - 03 Jun 2013
No
AA1131
HANG SENG BANK, LIMITED
Type 4: advising on securities
15 Mar 2013 - 03 Jun 2013
No
AA1131
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
15 Mar 2013 - 03 Jun 2013
No
AA1131
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
04 Mar 2008 - 29 Jan 2013
No
AA1131
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
04 Mar 2008 - 29 Jan 2013
No
AA1131
HANG SENG BANK, LIMITED
Type 4: advising on securities
27 Nov 2003 - 06 Jan 2008
No
AA1131
HANG SENG BANK, LIMITED
Type 1: dealing in securities
04 Sep 2003 - 06 Jan 2008
No
AA1131
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
04 Sep 2003 - 06 Jan 2008
No
AA1131
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 11 Aug 2003
No
AA1131
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 11 Aug 2003
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.