Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SUM, PUI CHEONG
Chinese Name of Relevant Individual
沈沛昌
HKMA Registration Number
AF0278
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
26 Oct 2017
Is an Executive Officer? (Yes / No)
No
Capacity
SR INVEST. PORT. CONSULTANT
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
26 Oct 2017
Is an Executive Officer? (Yes / No)
No
Capacity
SR INVEST. PORT. CONSULTANT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 26 Oct 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 26 Oct 2017
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
19 Nov 2015 - 26 Sep 2017
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
19 Nov 2015 - 26 Sep 2017
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
19 Nov 2015 - 26 Sep 2017
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
05 Mar 2011 - 01 Oct 2015
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
05 Mar 2011 - 01 Oct 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
SUM, PUI CHEONG
:
Chinese Name of Relevant Individual
沈沛昌
:
HKMA Registration Number
AF0278
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
26 Oct 2017
No
SR INVEST. PORT. CONSULTANT
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
26 Oct 2017
No
SR INVEST. PORT. CONSULTANT
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0278
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 26 Oct 2017
No
AF0278
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 26 Oct 2017
No
AF0278
HANG SENG BANK, LIMITED
Type 1: dealing in securities
19 Nov 2015 - 26 Sep 2017
No
AF0278
HANG SENG BANK, LIMITED
Type 4: advising on securities
19 Nov 2015 - 26 Sep 2017
No
AF0278
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
19 Nov 2015 - 26 Sep 2017
No
AF0278
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Mar 2011 - 01 Oct 2015
No
AF0278
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Mar 2011 - 01 Oct 2015
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.