Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WU, WAI KIN
Chinese Name of Relevant Individual
胡偉健
HKMA Registration Number
AG3788
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
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Dec 2015 - 10 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Dec 2015 - 10 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jun 2014 - 04 Jul 2015
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
20 Jun 2014 - 04 Jul 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
WU, WAI KIN
:
Chinese Name of Relevant Individual
胡偉健
:
HKMA Registration Number
AG3788
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3788
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
16 Dec 2015 - 10 Jan 2016
No
AG3788
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
16 Dec 2015 - 10 Jan 2016
No
AG3788
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
20 Jun 2014 - 04 Jul 2015
No
AG3788
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
20 Jun 2014 - 04 Jul 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.