Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, SZE YUEN
Chinese Name of Relevant Individual
黃思遠
HKMA Registration Number
AH3632
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
11 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH MANAGER (WEALTH MANAGEMENT)
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH MANAGER (WEALTH MANAGEMENT)
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 11 Mar 2026
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 11 Mar 2026
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
14 Jun 2024 - 22 Feb 2026
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
14 Jun 2024 - 22 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jun 2019 - 03 Jan 2023
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
04 Jun 2019 - 03 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Nov 2018 - 03 Apr 2019
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
08 Nov 2018 - 03 Apr 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
14 Jan 2017 - 30 Sep 2018
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
14 Jan 2017 - 30 Sep 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
WONG, SZE YUEN
:
Chinese Name of Relevant Individual
黃思遠
:
HKMA Registration Number
AH3632
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
11 Mar 2026
No
ASSISTANT BRANCH MANAGER (WEALTH MANAGEMENT)
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
11 Mar 2026
No
ASSISTANT BRANCH MANAGER (WEALTH MANAGEMENT)
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)
AH3632
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 11 Mar 2026
No
AH3632
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 11 Mar 2026
No
AH3632
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
14 Jun 2024 - 22 Feb 2026
No
AH3632
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
14 Jun 2024 - 22 Feb 2026
No
AH3632
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
04 Jun 2019 - 03 Jan 2023
No
AH3632
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
04 Jun 2019 - 03 Jan 2023
No
AH3632
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
08 Nov 2018 - 03 Apr 2019
No
AH3632
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
08 Nov 2018 - 03 Apr 2019
No
AH3632
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
14 Jan 2017 - 30 Sep 2018
No
AH3632
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
14 Jan 2017 - 30 Sep 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.