Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SUM, HO MAN IVAN
Chinese Name of Relevant Individual
沈灝旻
HKMA Registration Number
AF1076
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
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jul 2011 - 02 Apr 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jul 2011 - 02 Apr 2012
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 May 2011 - 15 Jun 2011
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 May 2011 - 15 Jun 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, HO MAN IVAN
:
Chinese Name of Relevant Individual
沈灝旻
:
HKMA Registration Number
AF1076
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1076
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
09 Jul 2011 - 02 Apr 2012
No
AF1076
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
09 Jul 2011 - 02 Apr 2012
No
AF1076
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 May 2011 - 15 Jun 2011
No
AF1076
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
05 May 2011 - 15 Jun 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.