Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, TSUN HANG OCEAN
Chinese Name of Relevant Individual
歐峻亨
HKMA Registration Number
AH4095
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
30 Mar 2023
Is an Executive Officer? (Yes / No)
No
Capacity
INVEST. PORTFOLIO CONSULTANT
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
30 Mar 2023
Is an Executive Officer? (Yes / No)
No
Capacity
INVEST. PORTFOLIO CONSULTANT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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 CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 30 Mar 2023
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
Since 30 Mar 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Feb 2023 - 17 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Feb 2023 - 17 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
14 Feb 2023 - 17 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Aug 2022 - 14 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Aug 2022 - 14 Jan 2023
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
29 Nov 2018 - 12 Nov 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
29 Nov 2018 - 12 Nov 2021
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
04 Mar 2017 - 10 Oct 2018
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
04 Mar 2017 - 10 Oct 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
AU, TSUN HANG OCEAN
:
Chinese Name of Relevant Individual
歐峻亨
:
HKMA Registration Number
AH4095
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
30 Mar 2023
No
INVEST. PORTFOLIO CONSULTANT
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
30 Mar 2023
No
INVEST. PORTFOLIO CONSULTANT
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH4095
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 30 Mar 2023
No
AH4095
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 30 Mar 2023
No
AH4095
HANG SENG BANK, LIMITED
Type 1: dealing in securities
14 Feb 2023 - 17 Feb 2023
No
AH4095
HANG SENG BANK, LIMITED
Type 4: advising on securities
14 Feb 2023 - 17 Feb 2023
No
AH4095
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
14 Feb 2023 - 17 Feb 2023
No
AH4095
DAH SING BANK, LIMITED
Type 1: dealing in securities
06 Aug 2022 - 14 Jan 2023
No
AH4095
DAH SING BANK, LIMITED
Type 4: advising on securities
06 Aug 2022 - 14 Jan 2023
No
AH4095
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
29 Nov 2018 - 12 Nov 2021
No
AH4095
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
29 Nov 2018 - 12 Nov 2021
No
AH4095
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
04 Mar 2017 - 10 Oct 2018
No
AH4095
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
04 Mar 2017 - 10 Oct 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.