Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, WING SIU
Chinese Name of Relevant Individual
陳榮肇
HKMA Registration Number
AF2424
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
11 Aug 2011
Is an Executive Officer? (Yes / No)
No
Capacity
FUND MANAGER
Remarks
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Aug 2011
Is an Executive Officer? (Yes / No)
No
Capacity
FUND MANAGER
Remarks
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
First date of engagement
11 Aug 2011
Is an Executive Officer? (Yes / No)
No
Capacity
FUND MANAGER
Remarks
Registered Institution
BCOM FINANCE (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
24 Aug 2011
Is an Executive Officer? (Yes / No)
Yes
Capacity
SENIOR FUND MANAGER
Remarks
Registered Institution
BCOM FINANCE (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
24 Aug 2011
Is an Executive Officer? (Yes / No)
Yes
Capacity
SENIOR FUND MANAGER
Remarks
Registered Institution
BCOM FINANCE (HONG KONG) LIMITED
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
18 Oct 2011
Is an Executive Officer? (Yes / No)
Yes
Capacity
SENIOR FUND MANAGER
Remarks
Registered Institution
BCOM FINANCE (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
First date of engagement
24 Aug 2011
Is an Executive Officer? (Yes / No)
Yes
Capacity
SENIOR FUND MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
SFC CE number
AAK782
Business Address
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
Name of Registered Institution
BCOM FINANCE (HONG KONG) LIMITED
SFC CE number
AAL384
Business Address
1/F WHEELOCK HOUSE, 20 PEDDER STREET, 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
BCOM FINANCE (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 07 Feb 2014
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BCOM FINANCE (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 07 Feb 2014
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BCOM FINANCE (HONG KONG) LIMITED
Regulated Activity
Type 5: advising on futures contracts
Effective Period
Since 07 Feb 2014
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BCOM FINANCE (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
Since 07 Feb 2014
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 Aug 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 11 Aug 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
Effective Period
Since 11 Aug 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BCOM FINANCE (HONG KONG) LIMITED
Regulated Activity
Type 5: advising on futures contracts
Effective Period
18 Oct 2011 - 06 Feb 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BCOM FINANCE (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Aug 2011 - 06 Feb 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BCOM FINANCE (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
24 Aug 2011 - 06 Feb 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BCOM FINANCE (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
24 Aug 2011 - 06 Feb 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
CHAN, WING SIU
:
Chinese Name of Relevant Individual
陳榮肇
:
HKMA Registration Number
AF2424
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
11 Aug 2011
No
FUND MANAGER
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
11 Aug 2011
No
FUND MANAGER
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
11 Aug 2011
No
FUND MANAGER
BCOM FINANCE (HONG KONG) LIMITED
Type 1: dealing in securities
24 Aug 2011
Yes
SENIOR FUND MANAGER
BCOM FINANCE (HONG KONG) LIMITED
Type 4: advising on securities
24 Aug 2011
Yes
SENIOR FUND MANAGER
BCOM FINANCE (HONG KONG) LIMITED
Type 5: advising on futures contracts
18 Oct 2011
Yes
SENIOR FUND MANAGER
BCOM FINANCE (HONG KONG) LIMITED
Type 9: asset management
24 Aug 2011
Yes
SENIOR FUND MANAGER
Name of Registered Institution
SFC CE number
Business Address
BANK OF COMMUNICATIONS CO., LTD.
AAK782
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
BCOM FINANCE (HONG KONG) LIMITED
AAL384
1/F WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2424
BCOM FINANCE (HONG KONG) LIMITED
Type 1: dealing in securities
Since 07 Feb 2014
Yes
AF2424
BCOM FINANCE (HONG KONG) LIMITED
Type 4: advising on securities
Since 07 Feb 2014
Yes
AF2424
BCOM FINANCE (HONG KONG) LIMITED
Type 5: advising on futures contracts
Since 07 Feb 2014
Yes
AF2424
BCOM FINANCE (HONG KONG) LIMITED
Type 9: asset management
Since 07 Feb 2014
Yes
AF2424
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
Since 11 Aug 2011
No
AF2424
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
Since 11 Aug 2011
No
AF2424
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
Since 11 Aug 2011
No
AF2424
BCOM FINANCE (HONG KONG) LIMITED
Type 5: advising on futures contracts
18 Oct 2011 - 06 Feb 2014
No
AF2424
BCOM FINANCE (HONG KONG) LIMITED
Type 1: dealing in securities
24 Aug 2011 - 06 Feb 2014
No
AF2424
BCOM FINANCE (HONG KONG) LIMITED
Type 4: advising on securities
24 Aug 2011 - 06 Feb 2014
No
AF2424
BCOM FINANCE (HONG KONG) LIMITED
Type 9: asset management
24 Aug 2011 - 06 Feb 2014
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.