Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
IP, WAI SUM
Chinese Name of Relevant Individual
葉慧心
HKMA Registration Number
AA2424
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
22 Jan 2018
Is an Executive Officer? (Yes / No)
No
Capacity
BRANCH HEAD
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
22 Jan 2018
Is an Executive Officer? (Yes / No)
No
Capacity
BRANCH HEAD
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
SFC CE number
BJN782
Business Address
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, 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 COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 22 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 22 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Aug 2014 - 28 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
09 Aug 2014 - 28 Jan 2018
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
23 Aug 2011 - 06 Jul 2014
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
23 Aug 2011 - 06 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Oct 2008 - 03 Jul 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED COMMERCIAL BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Mar 2007 - 28 Sep 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED COMMERCIAL BANK
Regulated Activity
Type 4: advising on securities
Effective Period
31 Mar 2007 - 28 Sep 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BELGIAN BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 07 Aug 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BELGIAN BANK
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 17 Jan 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
IP, WAI SUM
:
Chinese Name of Relevant Individual
葉慧心
:
HKMA Registration Number
AA2424
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jan 2018
No
BRANCH HEAD
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
22 Jan 2018
No
BRANCH HEAD
Name of Registered Institution
SFC CE number
Business Address
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
BJN782
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2424
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
Since 22 Jan 2018
No
AA2424
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
Since 22 Jan 2018
No
AA2424
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
09 Aug 2014 - 28 Jan 2018
No
AA2424
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
09 Aug 2014 - 28 Jan 2018
No
AA2424
DAH SING BANK, LIMITED
Type 1: dealing in securities
23 Aug 2011 - 06 Jul 2014
No
AA2424
DAH SING BANK, LIMITED
Type 4: advising on securities
23 Aug 2011 - 06 Jul 2014
No
AA2424
CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
30 Oct 2008 - 03 Jul 2011
No
AA2424
UNITED COMMERCIAL BANK
Type 1: dealing in securities
31 Mar 2007 - 28 Sep 2008
No
AA2424
UNITED COMMERCIAL BANK
Type 4: advising on securities
31 Mar 2007 - 28 Sep 2008
No
AA2424
BELGIAN BANK
Type 1: dealing in securities
01 Apr 2003 - 07 Aug 2005
No
AA2424
BELGIAN BANK
Type 7: providing automated trading services
01 Apr 2003 - 17 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.