Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHUM, HENG YUE
Chinese Name of Relevant Individual
岑杏如
HKMA Registration Number
AC9807
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
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Apr 2026 - 08 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
23 Apr 2026 - 08 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Aug 2025 - 13 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
29 Aug 2025 - 13 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Apr 2025 - 03 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
25 Apr 2025 - 03 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Dec 2024 - 04 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
13 Dec 2024 - 04 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Dec 2023 - 05 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
15 Dec 2023 - 05 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Sep 2023 - 29 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
15 Sep 2023 - 29 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Apr 2023 - 10 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
21 Apr 2023 - 10 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Dec 2021 - 31 Dec 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 18
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, HENG YUE
:
Chinese Name of Relevant Individual
岑杏如
:
HKMA Registration Number
AC9807
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9807
CITIBANK, N.A.
Type 1: dealing in securities
23 Apr 2026 - 08 May 2026
No
AC9807
CITIBANK, N.A.
Type 4: advising on securities
23 Apr 2026 - 08 May 2026
No
AC9807
CITIBANK, N.A.
Type 1: dealing in securities
29 Aug 2025 - 13 Sep 2025
No
AC9807
CITIBANK, N.A.
Type 4: advising on securities
29 Aug 2025 - 13 Sep 2025
No
AC9807
CITIBANK, N.A.
Type 1: dealing in securities
25 Apr 2025 - 03 May 2025
No
AC9807
CITIBANK, N.A.
Type 4: advising on securities
25 Apr 2025 - 03 May 2025
No
AC9807
CITIBANK, N.A.
Type 1: dealing in securities
13 Dec 2024 - 04 Jan 2025
No
AC9807
CITIBANK, N.A.
Type 4: advising on securities
13 Dec 2024 - 04 Jan 2025
No
AC9807
CITIBANK, N.A.
Type 1: dealing in securities
15 Dec 2023 - 05 Jan 2024
No
AC9807
CITIBANK, N.A.
Type 4: advising on securities
15 Dec 2023 - 05 Jan 2024
No
AC9807
CITIBANK, N.A.
Type 1: dealing in securities
15 Sep 2023 - 29 Sep 2023
No
AC9807
CITIBANK, N.A.
Type 4: advising on securities
15 Sep 2023 - 29 Sep 2023
No
AC9807
CITIBANK, N.A.
Type 1: dealing in securities
21 Apr 2023 - 10 May 2023
No
AC9807
CITIBANK, N.A.
Type 4: advising on securities
21 Apr 2023 - 10 May 2023
No
AC9807
CITIBANK, N.A.
Type 1: dealing in securities
03 Dec 2021 - 31 Dec 2021
No
AC9807
CITIBANK, N.A.
Type 4: advising on securities
03 Dec 2021 - 31 Dec 2021
No
AC9807
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
22 Jun 2006 - 05 Sep 2007
No
AC9807
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
22 Jun 2006 - 05 Sep 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.