Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, KAM YUEN DAVID
Chinese Name of Relevant Individual
蘇淦源
HKMA Registration Number
AG0913
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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Mar 2015 - 08 May 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Mar 2015 - 08 May 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Sep 2013 - 02 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Sep 2013 - 02 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
SO, KAM YUEN DAVID
:
Chinese Name of Relevant Individual
蘇淦源
:
HKMA Registration Number
AG0913
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0913
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Mar 2015 - 08 May 2020
No
AG0913
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Mar 2015 - 08 May 2020
No
AG0913
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Sep 2013 - 02 Mar 2015
No
AG0913
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Sep 2013 - 02 Mar 2015
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.