Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, TSZ TO
Chinese Name of Relevant Individual
蘇子滔
HKMA Registration Number
AC7146
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Mar 2019 - 10 Mar 2020
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
05 Mar 2019 - 10 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Oct 2016 - 16 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Oct 2016 - 16 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Dec 2013 - 04 Feb 2014
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
18 Dec 2013 - 04 Feb 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Apr 2011 - 10 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jun 2010 - 10 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jun 2009 - 15 Jun 2010
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
28 Jun 2008 - 26 Aug 2008
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
28 Jun 2008 - 26 Aug 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Feb 2007 - 19 Apr 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
26 Feb 2007 - 19 Apr 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Nov 2006 - 01 Mar 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 Nov 2006 - 01 Mar 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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
SO, TSZ TO
:
Chinese Name of Relevant Individual
蘇子滔
:
HKMA Registration Number
AC7146
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC7146
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
05 Mar 2019 - 10 Mar 2020
No
AC7146
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Mar 2019 - 10 Mar 2020
No
AC7146
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Oct 2016 - 16 Dec 2018
No
AC7146
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Oct 2016 - 16 Dec 2018
No
AC7146
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
18 Dec 2013 - 04 Feb 2014
No
AC7146
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
18 Dec 2013 - 04 Feb 2014
No
AC7146
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 Apr 2011 - 10 Nov 2013
No
AC7146
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jun 2010 - 10 Nov 2013
No
AC7146
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Jun 2009 - 15 Jun 2010
No
AC7146
DAH SING BANK, LIMITED
Type 1: dealing in securities
28 Jun 2008 - 26 Aug 2008
No
AC7146
DAH SING BANK, LIMITED
Type 4: advising on securities
28 Jun 2008 - 26 Aug 2008
No
AC7146
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 Feb 2007 - 19 Apr 2008
No
AC7146
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
26 Feb 2007 - 19 Apr 2008
No
AC7146
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
29 Nov 2006 - 01 Mar 2007
No
AC7146
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
29 Nov 2006 - 01 Mar 2007
No
AC7146
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
05 Oct 2005 - 27 Jul 2006
No
AC7146
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Oct 2005 - 27 Jul 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.