Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
AU, SHUK WA
Chinese Name of Relevant Individual

區淑樺
HKMA Registration Number
AF2110
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
28 Jul 2018
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH MANAGER (PREMIER SERVICE)
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Jul 2018
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH MANAGER (PREMIER SERVICE)
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
AU, SHUK WA
:
Chinese Name of Relevant Individual
區淑樺
:
HKMA Registration Number
AF2110
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
28 Jul 2018
No
ASSISTANT BRANCH MANAGER (PREMIER SERVICE)
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
28 Jul 2018
No
ASSISTANT BRANCH MANAGER (PREMIER SERVICE)