Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SZE, YEUK WAN
Chinese Name of Relevant Individual
施若雲
HKMA Registration Number
AF0580
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
21 Apr 2012
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, DIRECT BANKING
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
12 Jun 2018
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, DIRECT BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
SFC CE number
AAF138
Business Address
61-65, DES VOEUX 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
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 12 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 21 Apr 2012
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 Nov 2011 - 22 Feb 2012
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 Nov 2011 - 22 Feb 2012
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
25 Mar 2011 - 31 Oct 2011
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
25 Mar 2011 - 31 Oct 2011
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
SZE, YEUK WAN
:
Chinese Name of Relevant Individual
施若雲
:
HKMA Registration Number
AF0580
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
21 Apr 2012
No
SALES, DIRECT BANKING
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
12 Jun 2018
No
SALES, DIRECT BANKING
Name of Registered Institution
SFC CE number
Business Address
CHINA CITIC BANK INTERNATIONAL LIMITED
AAF138
61-65, DES VOEUX ROAD CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0580
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
Since 12 Jun 2018
No
AF0580
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 21 Apr 2012
No
AF0580
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Nov 2011 - 22 Feb 2012
No
AF0580
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Nov 2011 - 22 Feb 2012
No
AF0580
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
25 Mar 2011 - 31 Oct 2011
No
AF0580
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
25 Mar 2011 - 31 Oct 2011
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.