Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, KWAN SHING
Chinese Name of Relevant Individual
歐君成
HKMA Registration Number
AH3347
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
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Sep 2019 - 31 Jul 2021
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
14 Sep 2019 - 31 Jul 2021
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
19 Jan 2019 - 25 Aug 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
01 Dec 2016 - 18 Nov 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
01 Dec 2016 - 18 Nov 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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, KWAN SHING
:
Chinese Name of Relevant Individual
歐君成
:
HKMA Registration Number
AH3347
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3347
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
14 Sep 2019 - 31 Jul 2021
No
AH3347
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
14 Sep 2019 - 31 Jul 2021
No
AH3347
OCBC WING HANG BANK LIMITED
Type 1: dealing in securities
19 Jan 2019 - 25 Aug 2019
No
AH3347
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
01 Dec 2016 - 18 Nov 2017
No
AH3347
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
01 Dec 2016 - 18 Nov 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.