Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TU, WAN SZE
Chinese Name of Relevant Individual
杜韻詩
HKMA Registration Number
AH2613
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
19 Jul 2024
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
19 Jul 2024
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 19 Jul 2024
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 19 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jun 2022 - 05 May 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
26 Nov 2021 - 06 May 2022
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
26 Nov 2021 - 06 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Mar 2021 - 30 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 Mar 2021 - 30 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jan 2018 - 24 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jan 2018 - 24 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Sep 2016 - 28 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
07 Sep 2016 - 28 Jan 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
TU, WAN SZE
:
Chinese Name of Relevant Individual
杜韻詩
:
HKMA Registration Number
AH2613
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
19 Jul 2024
No
BUSINESS AND RELATIONSHIP MANAGEMENT
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
19 Jul 2024
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)
AH2613
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
Since 19 Jul 2024
No
AH2613
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
Since 19 Jul 2024
No
AH2613
OCBC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jun 2022 - 05 May 2024
No
AH2613
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
26 Nov 2021 - 06 May 2022
No
AH2613
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
26 Nov 2021 - 06 May 2022
No
AH2613
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
29 Mar 2021 - 30 Sep 2021
No
AH2613
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
29 Mar 2021 - 30 Sep 2021
No
AH2613
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jan 2018 - 24 Jan 2021
No
AH2613
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
22 Jan 2018 - 24 Jan 2021
No
AH2613
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
07 Sep 2016 - 28 Jan 2018
No
AH2613
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
07 Sep 2016 - 28 Jan 2018
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.