Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSE, SUM SUM
Chinese Name of Relevant Individual
謝琛琛
HKMA Registration Number
AA1403
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
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Sep 2003 - 19 Oct 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
06 Sep 2003 - 19 Oct 2003
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
06 Sep 2003 - 19 Oct 2003
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 21 Aug 2003
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 21 Aug 2003
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
TSE, SUM SUM
:
Chinese Name of Relevant Individual
謝琛琛
:
HKMA Registration Number
AA1403
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1403
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 Sep 2003 - 19 Oct 2003
No
AA1403
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
06 Sep 2003 - 19 Oct 2003
No
AA1403
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
06 Sep 2003 - 19 Oct 2003
No
AA1403
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 21 Aug 2003
No
AA1403
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 21 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.