Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SU, WEN YAN
Chinese Name of Relevant Individual
蘇文艷
HKMA Registration Number
AG4543
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Oct 2020
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS AND RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Oct 2020
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS AND RELATIONSHIP MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CMB WING LUNG BANK LIMITED
SFC CE number
AAF294
Business Address
43-49 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
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 28 Oct 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 28 Oct 2020
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
28 Apr 2018 - 14 Aug 2020
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
28 Apr 2018 - 14 Aug 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Dec 2015 - 09 Feb 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Dec 2015 - 09 Feb 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Aug 2014 - 30 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Aug 2014 - 30 Aug 2015
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
SU, WEN YAN
:
Chinese Name of Relevant Individual
蘇文艷
:
HKMA Registration Number
AG4543
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
28 Oct 2020
No
BUSINESS AND RELATIONSHIP MANAGEMENT
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
28 Oct 2020
No
BUSINESS AND RELATIONSHIP MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
CMB WING LUNG BANK LIMITED
AAF294
43-49 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4543
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
Since 28 Oct 2020
No
AG4543
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
Since 28 Oct 2020
No
AG4543
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
28 Apr 2018 - 14 Aug 2020
No
AG4543
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
28 Apr 2018 - 14 Aug 2020
No
AG4543
WING LUNG BANK LIMITED
Type 1: dealing in securities
18 Dec 2015 - 09 Feb 2018
No
AG4543
WING LUNG BANK LIMITED
Type 4: advising on securities
18 Dec 2015 - 09 Feb 2018
No
AG4543
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
21 Aug 2014 - 30 Aug 2015
No
AG4543
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
21 Aug 2014 - 30 Aug 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.