Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, WEN FENG
Chinese Name of Relevant Individual
劉文峯
HKMA Registration Number
AF3614
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
11 Aug 2021
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR DEPUTY MANAGER
Remarks
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Dec 2022
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR DEPUTY MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
SFC CE number
AGV591
Business Address
23/F, ONE CAUSEWAY BAY, 281 GLOUCESTER ROAD, CAUSEWAY BAY, 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
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 06 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK SINOPAC
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Mar 2021 - 02 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK SINOPAC
Regulated Activity
Type 4: advising on securities
Effective Period
11 Mar 2021 - 02 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Sep 2017 - 10 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
15 Sep 2017 - 10 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Sep 2013 - 15 Apr 2017
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
01 Nov 2011 - 20 Jul 2013
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
01 Nov 2011 - 20 Jul 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
LIU, WEN FENG
:
Chinese Name of Relevant Individual
劉文峯
:
HKMA Registration Number
AF3614
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CATHAY UNITED BANK COMPANY, LIMITED
Type 1: dealing in securities
11 Aug 2021
No
SENIOR DEPUTY MANAGER
CATHAY UNITED BANK COMPANY, LIMITED
Type 4: advising on securities
06 Dec 2022
No
SENIOR DEPUTY MANAGER
Name of Registered Institution
SFC CE number
Business Address
CATHAY UNITED BANK COMPANY, LIMITED
AGV591
23/F, ONE CAUSEWAY BAY, 281 GLOUCESTER ROAD, CAUSEWAY BAY, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3614
CATHAY UNITED BANK COMPANY, LIMITED
Type 4: advising on securities
Since 06 Dec 2022
No
AF3614
CATHAY UNITED BANK COMPANY, LIMITED
Type 1: dealing in securities
Since 11 Aug 2021
No
AF3614
BANK SINOPAC
Type 1: dealing in securities
11 Mar 2021 - 02 Aug 2021
No
AF3614
BANK SINOPAC
Type 4: advising on securities
11 Mar 2021 - 02 Aug 2021
No
AF3614
INDUSTRIAL BANK CO., LTD.
Type 1: dealing in securities
15 Sep 2017 - 10 Sep 2018
No
AF3614
INDUSTRIAL BANK CO., LTD.
Type 4: advising on securities
15 Sep 2017 - 10 Sep 2018
No
AF3614
CATHAY UNITED BANK COMPANY, LIMITED
Type 1: dealing in securities
06 Sep 2013 - 15 Apr 2017
No
AF3614
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Nov 2011 - 20 Jul 2013
No
AF3614
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Nov 2011 - 20 Jul 2013
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.