Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, CHUN WAI MARSHALL
Chinese Name of Relevant Individual
蘇振威
HKMA Registration Number
AG1999
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
13 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MGR, PW
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
13 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MGR, PW
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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 CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 13 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 13 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2021 - 18 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 May 2021 - 18 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Mar 2020 - 23 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 Mar 2020 - 23 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Dec 2013 - 23 Dec 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
19 Dec 2013 - 23 Dec 2019
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
SO, CHUN WAI MARSHALL
:
Chinese Name of Relevant Individual
蘇振威
:
HKMA Registration Number
AG1999
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
13 May 2022
No
RELATIONSHIP MGR, PW
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
13 May 2022
No
RELATIONSHIP MGR, PW
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1999
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 13 May 2022
No
AG1999
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 13 May 2022
No
AG1999
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
01 May 2021 - 18 Apr 2022
No
AG1999
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
01 May 2021 - 18 Apr 2022
No
AG1999
DAH SING BANK, LIMITED
Type 1: dealing in securities
13 Mar 2020 - 23 Feb 2021
No
AG1999
DAH SING BANK, LIMITED
Type 4: advising on securities
13 Mar 2020 - 23 Feb 2021
No
AG1999
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
19 Dec 2013 - 23 Dec 2019
No
AG1999
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
19 Dec 2013 - 23 Dec 2019
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.