Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHUM, WAI YEE
Chinese Name of Relevant Individual
岑慧儀
HKMA Registration Number
AG2150
Other HKMA Registration Number(s)
AF2399
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
23 Mar 2021
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT SERVICES
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
23 Mar 2021
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT SERVICES
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
First date of engagement
23 Mar 2021
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT SERVICES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HANG SENG BANK, LIMITED
SFC CE number
AAH297
Business Address
HANG SENG BANK BLDG., 83 DES VOEUX ROAD 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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 23 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 23 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
Since 23 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jan 2014 - 21 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jan 2014 - 21 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
09 Jan 2014 - 21 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Dec 2011 - 07 Aug 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Aug 2011 - 07 Aug 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
10 Aug 2011 - 07 Aug 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, WAI YEE
:
Chinese Name of Relevant Individual
岑慧儀
:
HKMA Registration Number
AG2150
:
Other HKMA Registration Number(s)
AF2399
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HANG SENG BANK, LIMITED
Type 1: dealing in securities
23 Mar 2021
No
INVESTMENT SERVICES
HANG SENG BANK, LIMITED
Type 4: advising on securities
23 Mar 2021
No
INVESTMENT SERVICES
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
23 Mar 2021
No
INVESTMENT SERVICES
Name of Registered Institution
SFC CE number
Business Address
HANG SENG BANK, LIMITED
AAH297
HANG SENG BANK BLDG., 83 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG2150
HANG SENG BANK, LIMITED
Type 1: dealing in securities
Since 23 Mar 2021
No
AG2150
HANG SENG BANK, LIMITED
Type 4: advising on securities
Since 23 Mar 2021
No
AG2150
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
Since 23 Mar 2021
No
AG2150
HANG SENG BANK, LIMITED
Type 1: dealing in securities
09 Jan 2014 - 21 Aug 2016
No
AG2150
HANG SENG BANK, LIMITED
Type 4: advising on securities
09 Jan 2014 - 21 Aug 2016
No
AG2150
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
09 Jan 2014 - 21 Aug 2016
No
AF2399
HANG SENG BANK, LIMITED
Type 4: advising on securities
06 Dec 2011 - 07 Aug 2013
No
AF2399
HANG SENG BANK, LIMITED
Type 1: dealing in securities
10 Aug 2011 - 07 Aug 2013
No
AF2399
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
10 Aug 2011 - 07 Aug 2013
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.