Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SIU, KWONG SUM
Chinese Name of Relevant Individual
蕭廣深
HKMA Registration Number
AD0160
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
17 Apr 2021
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR , INVESTMENT SPECIALIST
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
17 Apr 2021
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR , INVESTMENT SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD CENTRAL, HONG KONG.
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
Since 17 Apr 2021
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
Since 17 Apr 2021
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
25 Mar 2019 - 10 Mar 2021
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
25 Mar 2019 - 10 Mar 2021
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
25 Mar 2019 - 10 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Dec 2017 - 12 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Dec 2017 - 12 Nov 2018
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
11 Jan 2014 - 25 Sep 2017
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
11 Jan 2014 - 25 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Aug 2013 - 29 Oct 2013
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
31 Aug 2013 - 29 Oct 2013
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
07 Mar 2013 - 05 Aug 2013
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
07 Mar 2013 - 05 Aug 2013
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
19 Jul 2011 - 11 Jan 2013
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
19 Jul 2011 - 11 Jan 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 22
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
SIU, KWONG SUM
:
Chinese Name of Relevant Individual
蕭廣深
:
HKMA Registration Number
AD0160
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
17 Apr 2021
No
DIRECTOR , INVESTMENT SPECIALIST
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
17 Apr 2021
No
DIRECTOR , INVESTMENT SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AD0160
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 17 Apr 2021
No
AD0160
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 17 Apr 2021
No
AD0160
HANG SENG BANK, LIMITED
Type 1: dealing in securities
25 Mar 2019 - 10 Mar 2021
No
AD0160
HANG SENG BANK, LIMITED
Type 4: advising on securities
25 Mar 2019 - 10 Mar 2021
No
AD0160
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
25 Mar 2019 - 10 Mar 2021
No
AD0160
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Dec 2017 - 12 Nov 2018
No
AD0160
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Dec 2017 - 12 Nov 2018
No
AD0160
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Jan 2014 - 25 Sep 2017
No
AD0160
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Jan 2014 - 25 Sep 2017
No
AD0160
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
31 Aug 2013 - 29 Oct 2013
No
AD0160
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
31 Aug 2013 - 29 Oct 2013
No
AD0160
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
07 Mar 2013 - 05 Aug 2013
No
AD0160
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
07 Mar 2013 - 05 Aug 2013
No
AD0160
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
19 Jul 2011 - 11 Jan 2013
No
AD0160
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
19 Jul 2011 - 11 Jan 2013
No
AD0160
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
05 Feb 2010 - 31 May 2011
No
AD0160
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
05 Feb 2010 - 31 May 2011
No
AD0160
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
30 Jun 2007 - 06 Jan 2010
No
AD0160
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
30 Jun 2007 - 06 Jan 2010
No
AD0160
HANG SENG BANK, LIMITED
Type 4: advising on securities
26 Jul 2006 - 29 Apr 2007
No
AD0160
HANG SENG BANK, LIMITED
Type 1: dealing in securities
18 Jul 2006 - 29 Apr 2007
No
AD0160
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
18 Jul 2006 - 29 Apr 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.