Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
WONG, SUM YIN
Chinese Name of Relevant Individual

王心妍
HKMA Registration Number
AG1000
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
11 Sep 2013
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT MANAGER, WEALTH & PERSONAL BANKING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Sep 2013
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT MANAGER, WEALTH & PERSONAL BANKING
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
WONG, SUM YIN
:
Chinese Name of Relevant Individual
王心妍
:
HKMA Registration Number
AG1000
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
11 Sep 2013
No
ASSISTANT MANAGER, WEALTH & PERSONAL BANKING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
11 Sep 2013
No
ASSISTANT MANAGER, WEALTH & PERSONAL BANKING