Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, CHUN FUNG
Chinese Name of Relevant Individual
蘇臻峰
HKMA Registration Number
AF3800
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
25 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Registered Institution
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
SFC CE number
AYT305
Business Address
30/F, SPD BANK TOWER, ONE HENNESSY, 1 HENNESSY ROAD, 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
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 25 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 25 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Oct 2023 - 28 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jun 2022 - 02 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
15 Jun 2022 - 02 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Dec 2015 - 30 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Dec 2015 - 30 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Jul 2013 - 10 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Nov 2011 - 10 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
15 Nov 2011 - 10 Jun 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
SO, CHUN FUNG
:
Chinese Name of Relevant Individual
蘇臻峰
:
HKMA Registration Number
AF3800
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Type 1: dealing in securities
25 Jun 2024
No
PRIVATE BANKING
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Type 4: advising on securities
25 Jun 2024
No
PRIVATE BANKING
Name of Registered Institution
SFC CE number
Business Address
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
AYT305
30/F, SPD BANK TOWER, ONE HENNESSY, 1 HENNESSY ROAD, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3800
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Type 1: dealing in securities
Since 25 Jun 2024
No
AF3800
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Type 4: advising on securities
Since 25 Jun 2024
No
AF3800
OCBC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Oct 2023 - 28 Apr 2024
No
AF3800
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
15 Jun 2022 - 02 May 2023
No
AF3800
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
15 Jun 2022 - 02 May 2023
No
AF3800
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
16 Dec 2015 - 30 Apr 2022
No
AF3800
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
16 Dec 2015 - 30 Apr 2022
No
AF3800
HANG SENG BANK, LIMITED
Type 4: advising on securities
03 Jul 2013 - 10 Jun 2015
No
AF3800
HANG SENG BANK, LIMITED
Type 1: dealing in securities
15 Nov 2011 - 10 Jun 2015
No
AF3800
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
15 Nov 2011 - 10 Jun 2015
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.