Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, WAN NAM
Chinese Name of Relevant Individual
廖蘊楠
HKMA Registration Number
AF5413
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
12 Nov 2025
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS AND RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
12 Nov 2025
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS AND RELATIONSHIP MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CMB WING LUNG BANK LIMITED
SFC CE number
AAF294
Business Address
43-49 DES VOEUX 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
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 12 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 12 Nov 2025
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
19 Apr 2018 - 23 Sep 2025
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
19 Apr 2018 - 23 Sep 2025
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
19 Apr 2018 - 23 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jun 2015 - 25 Feb 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jun 2015 - 25 Feb 2018
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
23 Mar 2012 - 09 May 2015
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
23 Mar 2012 - 09 May 2015
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, WAN NAM
:
Chinese Name of Relevant Individual
廖蘊楠
:
HKMA Registration Number
AF5413
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
12 Nov 2025
No
BUSINESS AND RELATIONSHIP MANAGEMENT
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
12 Nov 2025
No
BUSINESS AND RELATIONSHIP MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
CMB WING LUNG BANK LIMITED
AAF294
43-49 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF5413
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
Since 12 Nov 2025
No
AF5413
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
Since 12 Nov 2025
No
AF5413
HANG SENG BANK, LIMITED
Type 1: dealing in securities
19 Apr 2018 - 23 Sep 2025
No
AF5413
HANG SENG BANK, LIMITED
Type 4: advising on securities
19 Apr 2018 - 23 Sep 2025
No
AF5413
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
19 Apr 2018 - 23 Sep 2025
No
AF5413
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
08 Jun 2015 - 25 Feb 2018
No
AF5413
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
08 Jun 2015 - 25 Feb 2018
No
AF5413
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
23 Mar 2012 - 09 May 2015
No
AF5413
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
23 Mar 2012 - 09 May 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.