Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SZE, WING SAN
Chinese Name of Relevant Individual
施榮燊
HKMA Registration Number
AH1746
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
12 Sep 2024
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT VICE PRESIDENT, RELATIONSHIP MANAGEMENT I
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
12 Sep 2024
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT VICE PRESIDENT, RELATIONSHIP MANAGEMENT I
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
SFC CE number
AAJ165
Business Address
BANK OF EAST ASIA BUILDING, 10 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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 12 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
Since 12 Sep 2024
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
05 Jan 2022 - 17 Aug 2024
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
05 Jan 2022 - 17 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Aug 2021 - 13 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Aug 2021 - 13 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Sep 2019 - 03 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Sep 2019 - 03 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Sep 2019 - 03 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
20 Sep 2019 - 03 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Apr 2017 - 01 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 Apr 2017 - 01 Jul 2019
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
08 Jun 2016 - 17 Mar 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
08 Jun 2016 - 17 Mar 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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
SZE, WING SAN
:
Chinese Name of Relevant Individual
施榮燊
:
HKMA Registration Number
AH1746
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
12 Sep 2024
No
ASSISTANT VICE PRESIDENT, RELATIONSHIP MANAGEMENT I
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
12 Sep 2024
No
ASSISTANT VICE PRESIDENT, RELATIONSHIP MANAGEMENT I
Name of Registered Institution
SFC CE number
Business Address
BANK OF EAST ASIA, LIMITED (THE)
AAJ165
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1746
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
Since 12 Sep 2024
No
AH1746
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
Since 12 Sep 2024
No
AH1746
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
05 Jan 2022 - 17 Aug 2024
No
AH1746
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
05 Jan 2022 - 17 Aug 2024
No
AH1746
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Aug 2021 - 13 Sep 2021
No
AH1746
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Aug 2021 - 13 Sep 2021
No
AH1746
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Sep 2019 - 03 Jul 2021
No
AH1746
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Sep 2019 - 03 Jul 2021
No
AH1746
CITIBANK, N.A.
Type 1: dealing in securities
20 Sep 2019 - 03 Jul 2021
No
AH1746
CITIBANK, N.A.
Type 4: advising on securities
20 Sep 2019 - 03 Jul 2021
No
AH1746
CHONG HING BANK LIMITED
Type 1: dealing in securities
29 Apr 2017 - 01 Jul 2019
No
AH1746
CHONG HING BANK LIMITED
Type 4: advising on securities
29 Apr 2017 - 01 Jul 2019
No
AH1746
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
08 Jun 2016 - 17 Mar 2017
No
AH1746
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
08 Jun 2016 - 17 Mar 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.