Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHUM, WAI MING
Chinese Name of Relevant Individual
沈偉明
HKMA Registration Number
AF1801
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
10 May 2017
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER, LIABILITIES, SME BANKING
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
10 May 2017
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER, LIABILITIES, SME BANKING
Remarks
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
27 Sep 2024
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER, LIABILITIES, SME BANKING
Remarks
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
27 Sep 2024
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER, LIABILITIES, SME BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DBS BANK (HONG KONG) LIMITED
SFC CE number
AAL664
Business Address
11TH FLOOR, THE CENTER, 99 QUEEN'S ROAD CENTRAL, HONG KONG.
Name of Registered Institution
DBS BANK LTD.
SFC CE number
AAC212
Business Address
G/F & 18/F, THE CENTER, 99 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
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 27 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 27 Sep 2024
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
Since 10 May 2017
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
Since 10 May 2017
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
27 Sep 2016 - 19 Apr 2017
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
27 Sep 2016 - 19 Apr 2017
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
30 Jun 2011 - 31 Aug 2016
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
30 Jun 2011 - 31 Aug 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
SHUM, WAI MING
:
Chinese Name of Relevant Individual
沈偉明
:
HKMA Registration Number
AF1801
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
10 May 2017
No
RELATIONSHIP MANAGER, LIABILITIES, SME BANKING
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
10 May 2017
No
RELATIONSHIP MANAGER, LIABILITIES, SME BANKING
DBS BANK LTD.
Type 1: dealing in securities
27 Sep 2024
No
RELATIONSHIP MANAGER, LIABILITIES, SME BANKING
DBS BANK LTD.
Type 4: advising on securities
27 Sep 2024
No
RELATIONSHIP MANAGER, LIABILITIES, SME BANKING
Name of Registered Institution
SFC CE number
Business Address
DBS BANK (HONG KONG) LIMITED
AAL664
11TH FLOOR, THE CENTER, 99 QUEEN'S ROAD CENTRAL, HONG KONG.
DBS BANK LTD.
AAC212
G/F & 18/F, THE CENTER, 99 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1801
DBS BANK LTD.
Type 1: dealing in securities
Since 27 Sep 2024
No
AF1801
DBS BANK LTD.
Type 4: advising on securities
Since 27 Sep 2024
No
AF1801
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 10 May 2017
No
AF1801
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 10 May 2017
No
AF1801
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
27 Sep 2016 - 19 Apr 2017
No
AF1801
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
27 Sep 2016 - 19 Apr 2017
No
AF1801
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
30 Jun 2011 - 31 Aug 2016
No
AF1801
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
30 Jun 2011 - 31 Aug 2016
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.