Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FAN, SHEUNG YAM, HORACE
Chinese Name of Relevant Individual
范上欽
HKMA Registration Number
AC0511
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
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Mar 2004 - 30 Jun 2006
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Mar 2004 - 30 Jun 2006
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
01 Mar 2004 - 30 Jun 2006
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
INTERNATIONAL BANK OF ASIA LTD
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Aug 2003 - 29 Feb 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INTERNATIONAL BANK OF ASIA LTD
Regulated Activity
Type 4: advising on securities
Effective Period
29 Aug 2003 - 29 Feb 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INTERNATIONAL BANK OF ASIA LTD
Regulated Activity
Type 9: asset management
Effective Period
29 Aug 2003 - 29 Feb 2004
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
FAN, SHEUNG YAM, HORACE
:
Chinese Name of Relevant Individual
范上欽
:
HKMA Registration Number
AC0511
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0511
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Mar 2004 - 30 Jun 2006
Yes
AC0511
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Mar 2004 - 30 Jun 2006
Yes
AC0511
FUBON BANK (HONG KONG) LIMITED
Type 9: asset management
01 Mar 2004 - 30 Jun 2006
Yes
AC0511
INTERNATIONAL BANK OF ASIA LTD
Type 1: dealing in securities
29 Aug 2003 - 29 Feb 2004
No
AC0511
INTERNATIONAL BANK OF ASIA LTD
Type 4: advising on securities
29 Aug 2003 - 29 Feb 2004
No
AC0511
INTERNATIONAL BANK OF ASIA LTD
Type 9: asset management
29 Aug 2003 - 29 Feb 2004
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.