Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, WING PONG FRANKIE
Chinese Name of Relevant Individual
區頴邦
HKMA Registration Number
AD0118
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
OCBC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Dec 2022 - 18 Feb 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Oct 2017 - 03 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 Oct 2017 - 03 Jul 2022
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
22 Sep 2015 - 04 Sep 2017
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
22 Sep 2015 - 04 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Feb 2009 - 23 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 Feb 2009 - 23 Aug 2015
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
03 Mar 2008 - 01 May 2008
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
14 Jul 2006 - 01 May 2008
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
14 Jul 2006 - 01 May 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
AU, WING PONG FRANKIE
:
Chinese Name of Relevant Individual
區頴邦
:
HKMA Registration Number
AD0118
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AD0118
OCBC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Dec 2022 - 18 Feb 2024
No
AD0118
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
12 Oct 2017 - 03 Jul 2022
No
AD0118
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
12 Oct 2017 - 03 Jul 2022
No
AD0118
DAH SING BANK, LIMITED
Type 1: dealing in securities
22 Sep 2015 - 04 Sep 2017
No
AD0118
DAH SING BANK, LIMITED
Type 4: advising on securities
22 Sep 2015 - 04 Sep 2017
No
AD0118
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
13 Feb 2009 - 23 Aug 2015
No
AD0118
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
13 Feb 2009 - 23 Aug 2015
No
AD0118
HANG SENG BANK, LIMITED
Type 4: advising on securities
03 Mar 2008 - 01 May 2008
No
AD0118
HANG SENG BANK, LIMITED
Type 1: dealing in securities
14 Jul 2006 - 01 May 2008
No
AD0118
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
14 Jul 2006 - 01 May 2008
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.