Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHUM, LUI PANG
Chinese Name of Relevant Individual
沈呂鵬
HKMA Registration Number
AG0372
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
21 Jan 2017
Is an Executive Officer? (Yes / No)
No
Capacity
DEALER
Remarks
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
21 Jan 2017
Is an Executive Officer? (Yes / No)
No
Capacity
DEALER
Remarks
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
First date of engagement
21 Jan 2017
Is an Executive Officer? (Yes / No)
No
Capacity
DEALER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
SFC CE number
AAK782
Business Address
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, 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
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 21 Jan 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 21 Jan 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
Effective Period
Since 21 Jan 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 1: dealing in securities
Effective Period
21 May 2015 - 02 Aug 2016
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
21 May 2015 - 02 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jul 2013 - 09 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
17 Jul 2013 - 09 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
Effective Period
17 Jul 2013 - 09 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, LUI PANG
:
Chinese Name of Relevant Individual
沈呂鵬
:
HKMA Registration Number
AG0372
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
21 Jan 2017
No
DEALER
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
21 Jan 2017
No
DEALER
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
21 Jan 2017
No
DEALER
Name of Registered Institution
SFC CE number
Business Address
BANK OF COMMUNICATIONS CO., LTD.
AAK782
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0372
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
Since 21 Jan 2017
No
AG0372
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
Since 21 Jan 2017
No
AG0372
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
Since 21 Jan 2017
No
AG0372
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
21 May 2015 - 02 Aug 2016
No
AG0372
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
21 May 2015 - 02 Aug 2016
No
AG0372
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
17 Jul 2013 - 09 Aug 2014
No
AG0372
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
17 Jul 2013 - 09 Aug 2014
No
AG0372
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
17 Jul 2013 - 09 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.