Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHUM, KIN CHI
Chinese Name of Relevant Individual
沈建志
HKMA Registration Number
AF9493
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
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Jun 2016 - 12 Feb 2017
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
02 Jun 2016 - 12 Feb 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2014 - 18 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2014 - 18 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Apr 2013 - 06 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Apr 2013 - 06 Mar 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
SHUM, KIN CHI
:
Chinese Name of Relevant Individual
沈建志
:
HKMA Registration Number
AF9493
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9493
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
02 Jun 2016 - 12 Feb 2017
No
AF9493
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
02 Jun 2016 - 12 Feb 2017
No
AF9493
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
01 Apr 2014 - 18 May 2014
No
AF9493
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
01 Apr 2014 - 18 May 2014
No
AF9493
WING LUNG BANK LIMITED
Type 1: dealing in securities
16 Apr 2013 - 06 Mar 2014
No
AF9493
WING LUNG BANK LIMITED
Type 4: advising on securities
16 Apr 2013 - 06 Mar 2014
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.