Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, WING KIN
Chinese Name of Relevant Individual
區永堅
HKMA Registration Number
AF8437
Current Registration
Not Applicable
Business Address
Not Applicable
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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 May 2021 - 18 Jul 2021
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
05 May 2021 - 18 Jul 2021
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
24 Jul 2014 - 20 Mar 2020
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
24 Jul 2014 - 20 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jan 2014 - 16 Jun 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jan 2014 - 16 Jun 2014
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
14 Dec 2012 - 05 Dec 2013
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
14 Dec 2012 - 05 Dec 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
AU, WING KIN
:
Chinese Name of Relevant Individual
區永堅
:
HKMA Registration Number
AF8437
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8437
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
05 May 2021 - 18 Jul 2021
No
AF8437
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
05 May 2021 - 18 Jul 2021
No
AF8437
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
24 Jul 2014 - 20 Mar 2020
No
AF8437
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
24 Jul 2014 - 20 Mar 2020
No
AF8437
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
14 Jan 2014 - 16 Jun 2014
No
AF8437
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
14 Jan 2014 - 16 Jun 2014
No
AF8437
HANG SENG BANK, LIMITED
Type 1: dealing in securities
14 Dec 2012 - 05 Dec 2013
No
AF8437
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
14 Dec 2012 - 05 Dec 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.