Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHUM, AMY HO LING
Chinese Name of Relevant Individual
岑賀齡
HKMA Registration Number
AG0336
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
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Feb 2016 - 12 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
04 Feb 2016 - 12 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
03 Nov 2014 - 09 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
03 Nov 2014 - 09 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Oct 2014 - 09 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 Oct 2014 - 09 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jul 2013 - 05 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
15 Jul 2013 - 05 Aug 2014
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
SHUM, AMY HO LING
:
Chinese Name of Relevant Individual
岑賀齡
:
HKMA Registration Number
AG0336
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0336
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
04 Feb 2016 - 12 May 2016
No
AG0336
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
04 Feb 2016 - 12 May 2016
No
AG0336
LGT BANK AG
Type 2: dealing in futures contracts
03 Nov 2014 - 09 Sep 2015
No
AG0336
LGT BANK AG
Type 5: advising on futures contracts
03 Nov 2014 - 09 Sep 2015
No
AG0336
LGT BANK AG
Type 1: dealing in securities
31 Oct 2014 - 09 Sep 2015
No
AG0336
LGT BANK AG
Type 4: advising on securities
31 Oct 2014 - 09 Sep 2015
No
AG0336
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
15 Jul 2013 - 05 Aug 2014
No
AG0336
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
15 Jul 2013 - 05 Aug 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.