Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, SHEUNG HEI
Chinese Name of Relevant Individual
區尚禧
HKMA Registration Number
AH2136
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONG LEONG BANK BERHAD
Regulated Activity
Type 1: dealing in securities
First date of engagement
31 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Registered Institution
HONG LEONG BANK BERHAD
Regulated Activity
Type 9: asset management
First date of engagement
31 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONG LEONG BANK BERHAD
SFC CE number
AJK467
Business Address
50TH FLOOR, THE CENTER, 99 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
HONG LEONG BANK BERHAD
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 31 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONG LEONG BANK BERHAD
Regulated Activity
Type 9: asset management
Effective Period
Since 31 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Aug 2025 - 24 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Aug 2025 - 24 Sep 2025
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
02 Oct 2017 - 12 Jun 2025
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
02 Oct 2017 - 12 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
02 Oct 2017 - 12 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC WING HANG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jul 2016 - 29 Aug 2017
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
AU, SHEUNG HEI
:
Chinese Name of Relevant Individual
區尚禧
:
HKMA Registration Number
AH2136
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONG LEONG BANK BERHAD
Type 1: dealing in securities
31 Mar 2026
No
RELATIONSHIP MANAGER
HONG LEONG BANK BERHAD
Type 9: asset management
31 Mar 2026
No
RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
HONG LEONG BANK BERHAD
AJK467
50TH FLOOR, THE CENTER, 99 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH2136
HONG LEONG BANK BERHAD
Type 1: dealing in securities
Since 31 Mar 2026
No
AH2136
HONG LEONG BANK BERHAD
Type 9: asset management
Since 31 Mar 2026
No
AH2136
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 Aug 2025 - 24 Sep 2025
No
AH2136
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
06 Aug 2025 - 24 Sep 2025
No
AH2136
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
02 Oct 2017 - 12 Jun 2025
No
AH2136
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
02 Oct 2017 - 12 Jun 2025
No
AH2136
DBS BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
02 Oct 2017 - 12 Jun 2025
No
AH2136
OCBC WING HANG BANK LIMITED
Type 1: dealing in securities
26 Jul 2016 - 29 Aug 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.