Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
PHUA, TIEN SOON
Chinese Name of Relevant Individual
潘添順
HKMA Registration Number
AC8141
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
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jun 2024 - 29 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 Jun 2024 - 29 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Mar 2019 - 06 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Mar 2019 - 06 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
22 Mar 2019 - 07 May 2021
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
12 Jan 2006 - 26 Feb 2007
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
12 Jan 2006 - 26 Feb 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
12 Jan 2006 - 26 Feb 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
PHUA, TIEN SOON
:
Chinese Name of Relevant Individual
潘添順
:
HKMA Registration Number
AC8141
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC8141
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 1: dealing in securities
13 Jun 2024 - 29 Apr 2025
No
AC8141
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 4: advising on securities
13 Jun 2024 - 29 Apr 2025
No
AC8141
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 1: dealing in securities
22 Mar 2019 - 06 Jun 2024
No
AC8141
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 4: advising on securities
22 Mar 2019 - 06 Jun 2024
No
AC8141
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 6: advising on corporate finance
22 Mar 2019 - 07 May 2021
No
AC8141
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
12 Jan 2006 - 26 Feb 2007
No
AC8141
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
12 Jan 2006 - 26 Feb 2007
No
AC8141
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
12 Jan 2006 - 26 Feb 2007
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.