Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, WAI SUM
Chinese Name of Relevant Individual
陳慧心
HKMA Registration Number
AA1816
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
21 Jul 2009
Is an Executive Officer? (Yes / No)
No
Capacity
EXECUTIVE DIRECTOR
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
21 Jul 2009
Is an Executive Officer? (Yes / No)
No
Capacity
EXECUTIVE DIRECTOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
SFC CE number
AAJ165
Business Address
BANK OF EAST ASIA BUILDING, 10 DES VOEUX 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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 21 Jul 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 21 Jul 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jun 2008 - 20 Nov 2008
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
04 Jun 2008 - 20 Nov 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Oct 2005 - 20 Nov 2008
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 - 20 Nov 2008
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
CHAN, WAI SUM
:
Chinese Name of Relevant Individual
陳慧心
:
HKMA Registration Number
AA1816
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
21 Jul 2009
No
EXECUTIVE DIRECTOR
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
21 Jul 2009
No
EXECUTIVE DIRECTOR
Name of Registered Institution
SFC CE number
Business Address
BANK OF EAST ASIA, LIMITED (THE)
AAJ165
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1816
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
Since 21 Jul 2009
No
AA1816
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
Since 21 Jul 2009
No
AA1816
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
06 Jun 2008 - 20 Nov 2008
No
AA1816
CITIBANK, N.A.
Type 4: advising on securities
04 Jun 2008 - 20 Nov 2008
No
AA1816
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
01 Oct 2005 - 20 Nov 2008
No
AA1816
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 20 Nov 2008
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.