Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHUM, YAN TING
Chinese Name of Relevant Individual
岑恩婷
HKMA Registration Number
AG3636
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
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jul 2018 - 21 Dec 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 Jul 2018 - 21 Dec 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jun 2014 - 03 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jun 2014 - 03 Jun 2018
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
SHUM, YAN TING
:
Chinese Name of Relevant Individual
岑恩婷
:
HKMA Registration Number
AG3636
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3636
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
12 Jul 2018 - 21 Dec 2021
No
AG3636
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
12 Jul 2018 - 21 Dec 2021
No
AG3636
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
06 Jun 2014 - 03 Jun 2018
No
AG3636
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
06 Jun 2014 - 03 Jun 2018
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.