Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHUM, KIN KWOK
Chinese Name of Relevant Individual
沈健國
HKMA Registration Number
AA2133
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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Nov 2006 - 26 Jun 2011
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
09 Nov 2006 - 26 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Nov 2005 - 07 Oct 2006
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
09 Nov 2005 - 07 Oct 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 23 Aug 2005
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
01 Apr 2003 - 23 Aug 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Apr 2003 - 23 Aug 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 10 Jan 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
SHUM, KIN KWOK
:
Chinese Name of Relevant Individual
沈健國
:
HKMA Registration Number
AA2133
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2133
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
09 Nov 2006 - 26 Jun 2011
No
AA2133
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
09 Nov 2006 - 26 Jun 2011
No
AA2133
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
09 Nov 2005 - 07 Oct 2006
No
AA2133
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
09 Nov 2005 - 07 Oct 2006
No
AA2133
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
01 Apr 2003 - 23 Aug 2005
No
AA2133
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
01 Apr 2003 - 23 Aug 2005
No
AA2133
BANK OF EAST ASIA, LIMITED (THE)
Type 6: advising on corporate finance
01 Apr 2003 - 23 Aug 2005
No
AA2133
BANK OF EAST ASIA, LIMITED (THE)
Type 7: providing automated trading services
01 Apr 2003 - 10 Jan 2005
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.