Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FUNG, SHU SUM
Chinese Name of Relevant Individual
馮樹森
HKMA Registration Number
AG5551
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
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Oct 2024 - 08 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Oct 2024 - 08 Mar 2026
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
20 Nov 2021 - 25 Sep 2024
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
20 Nov 2021 - 25 Sep 2024
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
14 May 2020 - 06 Oct 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
14 May 2020 - 06 Oct 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
14 May 2020 - 06 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 May 2019 - 25 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 May 2019 - 25 Feb 2020
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
06 May 2017 - 17 May 2019
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
06 May 2017 - 17 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Nov 2014 - 17 Apr 2017
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
18 Nov 2014 - 17 Apr 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
FUNG, SHU SUM
:
Chinese Name of Relevant Individual
馮樹森
:
HKMA Registration Number
AG5551
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5551
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
23 Oct 2024 - 08 Mar 2026
No
AG5551
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
23 Oct 2024 - 08 Mar 2026
No
AG5551
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
20 Nov 2021 - 25 Sep 2024
No
AG5551
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
20 Nov 2021 - 25 Sep 2024
No
AG5551
HANG SENG BANK, LIMITED
Type 1: dealing in securities
14 May 2020 - 06 Oct 2021
No
AG5551
HANG SENG BANK, LIMITED
Type 4: advising on securities
14 May 2020 - 06 Oct 2021
No
AG5551
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
14 May 2020 - 06 Oct 2021
No
AG5551
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 May 2019 - 25 Feb 2020
No
AG5551
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 May 2019 - 25 Feb 2020
No
AG5551
DAH SING BANK, LIMITED
Type 1: dealing in securities
06 May 2017 - 17 May 2019
No
AG5551
DAH SING BANK, LIMITED
Type 4: advising on securities
06 May 2017 - 17 May 2019
No
AG5551
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
18 Nov 2014 - 17 Apr 2017
No
AG5551
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
18 Nov 2014 - 17 Apr 2017
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.