Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHUM, KWUN CHI
Chinese Name of Relevant Individual
沈冠智
HKMA Registration Number
AC8781
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 EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Apr 2008 - 30 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
03 Apr 2008 - 30 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 9: asset management
Effective Period
03 Apr 2008 - 30 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Mar 2006 - 26 Jul 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Mar 2006 - 26 Jul 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
21 Mar 2006 - 26 Jul 2006
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
SHUM, KWUN CHI
:
Chinese Name of Relevant Individual
沈冠智
:
HKMA Registration Number
AC8781
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC8781
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
03 Apr 2008 - 30 Jun 2011
No
AC8781
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
03 Apr 2008 - 30 Jun 2011
No
AC8781
BANK OF EAST ASIA, LIMITED (THE)
Type 9: asset management
03 Apr 2008 - 30 Jun 2011
No
AC8781
HANG SENG BANK, LIMITED
Type 1: dealing in securities
21 Mar 2006 - 26 Jul 2006
No
AC8781
HANG SENG BANK, LIMITED
Type 4: advising on securities
21 Mar 2006 - 26 Jul 2006
No
AC8781
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
21 Mar 2006 - 26 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.