Register of Securities Staff of AIs

Last updated on 18/06/2026
< SEARCH AGAIN
Name of Relevant Individual
SHUM, KAI NIN
Chinese Name of Relevant Individual

岑佳年
HKMA Registration Number
AF7683
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
17 Aug 2021
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH MANAGER (WEALTH MANAGEMENT)
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
17 Aug 2021
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH MANAGER (WEALTH MANAGEMENT)
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
SHUM, KAI NIN
:
Chinese Name of Relevant Individual
岑佳年
:
HKMA Registration Number
AF7683
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
17 Aug 2021
No
ASSISTANT BRANCH MANAGER (WEALTH MANAGEMENT)
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
17 Aug 2021
No
ASSISTANT BRANCH MANAGER (WEALTH MANAGEMENT)