Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WAI, SHU MEI HELENA
Chinese Name of Relevant Individual
舒眉
HKMA Registration Number
AC5573
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
CITIC KA WAH BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Sep 2007 - 19 Sep 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIC KA WAH BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Dec 2006 - 29 Aug 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
06 May 2005 - 02 Nov 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
06 May 2005 - 02 Nov 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
WAI, SHU MEI HELENA
:
Chinese Name of Relevant Individual
舒眉
:
HKMA Registration Number
AC5573
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5573
CITIC KA WAH BANK LIMITED
Type 1: dealing in securities
04 Sep 2007 - 19 Sep 2007
No
AC5573
CITIC KA WAH BANK LIMITED
Type 1: dealing in securities
12 Dec 2006 - 29 Aug 2007
No
AC5573
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
06 May 2005 - 02 Nov 2006
No
AC5573
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
06 May 2005 - 02 Nov 2006
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.