Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHUM, KIT WAI
Chinese Name of Relevant Individual
岑潔惠
HKMA Registration Number
AC0829
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 CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Oct 2003 - 08 Dec 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
31 Oct 2003 - 08 Dec 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
31 Oct 2003 - 05 Sep 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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, KIT WAI
:
Chinese Name of Relevant Individual
岑潔惠
:
HKMA Registration Number
AC0829
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0829
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
31 Oct 2003 - 08 Dec 2009
No
AC0829
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
31 Oct 2003 - 08 Dec 2009
No
AC0829
BANK OF CHINA (HONG KONG) LIMITED
Type 7: providing automated trading services
31 Oct 2003 - 05 Sep 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.