Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEUNG, WARICK KWOK HANG
Chinese Name of Relevant Individual
梁國鏗
HKMA Registration Number
AG5696
Other HKMA Registration Number(s)
AE9916
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
16 Aug 2017
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGING DIRECTOR, CORPORATE AND INSTITUTIONAL BANKING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
16 Aug 2017
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGING DIRECTOR, CORPORATE AND INSTITUTIONAL BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 16 Aug 2017
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
Since 16 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Mar 2019 - 12 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
01 Mar 2019 - 12 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jun 2016 - 28 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jun 2016 - 28 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Jun 2016 - 28 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Feb 2016 - 25 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 Feb 2016 - 25 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Feb 2016 - 25 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jan 2016 - 12 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jan 2016 - 12 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
07 Jan 2016 - 12 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Nov 2014 - 04 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
30 Nov 2014 - 04 Dec 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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
LEUNG, WARICK KWOK HANG
:
Chinese Name of Relevant Individual
梁國鏗
:
HKMA Registration Number
AG5696
:
Other HKMA Registration Number(s)
AE9916
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
16 Aug 2017
No
MANAGING DIRECTOR, CORPORATE AND INSTITUTIONAL BANKING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
16 Aug 2017
No
MANAGING DIRECTOR, CORPORATE AND INSTITUTIONAL BANKING
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5696
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 16 Aug 2017
No
AG5696
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 16 Aug 2017
No
AG5696
HSBC BANK PLC
Type 1: dealing in securities
01 Mar 2019 - 12 May 2021
No
AG5696
HSBC BANK PLC
Type 4: advising on securities
01 Mar 2019 - 12 May 2021
No
AG5696
UBS AG
Type 1: dealing in securities
01 Jun 2016 - 28 Apr 2017
No
AG5696
UBS AG
Type 4: advising on securities
01 Jun 2016 - 28 Apr 2017
No
AG5696
UBS AG
Type 6: advising on corporate finance
01 Jun 2016 - 28 Apr 2017
No
AG5696
UBS AG
Type 1: dealing in securities
01 Feb 2016 - 25 Mar 2016
No
AG5696
UBS AG
Type 4: advising on securities
01 Feb 2016 - 25 Mar 2016
No
AG5696
UBS AG
Type 6: advising on corporate finance
01 Feb 2016 - 25 Mar 2016
No
AG5696
UBS AG
Type 1: dealing in securities
07 Jan 2016 - 12 Jan 2016
No
AG5696
UBS AG
Type 4: advising on securities
07 Jan 2016 - 12 Jan 2016
No
AG5696
UBS AG
Type 6: advising on corporate finance
07 Jan 2016 - 12 Jan 2016
No
AG5696
UBS AG
Type 1: dealing in securities
30 Nov 2014 - 04 Dec 2014
No
AG5696
UBS AG
Type 4: advising on securities
30 Nov 2014 - 04 Dec 2014
No
AG5696
UBS AG
Type 6: advising on corporate finance
30 Nov 2014 - 04 Dec 2014
No
AE9916
UBS AG
Type 1: dealing in securities
09 Feb 2011 - 28 May 2014
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.
