Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, HONG NING
Chinese Name of Relevant Individual
區康寧
HKMA Registration Number
AH5035
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
07 Oct 2020
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT, BRANCHES
Remarks
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
07 Oct 2020
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT, BRANCHES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DAH SING BANK, LIMITED
SFC CE number
AAK565
Business Address
26/F, DAH SING FINANCIAL CENTRE, 248 QUEEN'S ROAD EAST, WAN CHAI, 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
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 07 Oct 2020
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
Since 07 Oct 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Sep 2019 - 23 Aug 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
19 Sep 2019 - 23 Aug 2020
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
16 Jan 2018 - 04 Aug 2019
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
16 Jan 2018 - 04 Aug 2019
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
28 Jun 2017 - 02 Jan 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
28 Jun 2017 - 02 Jan 2018
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, HONG NING
:
Chinese Name of Relevant Individual
區康寧
:
HKMA Registration Number
AH5035
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DAH SING BANK, LIMITED
Type 1: dealing in securities
07 Oct 2020
No
RELATIONSHIP MANAGEMENT, BRANCHES
DAH SING BANK, LIMITED
Type 4: advising on securities
07 Oct 2020
No
RELATIONSHIP MANAGEMENT, BRANCHES
Name of Registered Institution
SFC CE number
Business Address
DAH SING BANK, LIMITED
AAK565
26/F, DAH SING FINANCIAL CENTRE, 248 QUEEN'S ROAD EAST, WAN CHAI, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH5035
DAH SING BANK, LIMITED
Type 1: dealing in securities
Since 07 Oct 2020
No
AH5035
DAH SING BANK, LIMITED
Type 4: advising on securities
Since 07 Oct 2020
No
AH5035
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
19 Sep 2019 - 23 Aug 2020
No
AH5035
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
19 Sep 2019 - 23 Aug 2020
No
AH5035
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Jan 2018 - 04 Aug 2019
No
AH5035
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Jan 2018 - 04 Aug 2019
No
AH5035
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
28 Jun 2017 - 02 Jan 2018
No
AH5035
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
28 Jun 2017 - 02 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.