Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHUM, WING CHUN
Chinese Name of Relevant Individual
岑榮駿
HKMA Registration Number
AH5904
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
11 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT SERVICES, WEALTH MANAGEMENT
Remarks
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT SERVICES, WEALTH MANAGEMENT
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 11 Jul 2025
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 11 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Aug 2022 - 22 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Aug 2022 - 22 Jun 2025
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
11 Jan 2022 - 17 Jun 2022
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
11 Jan 2022 - 17 Jun 2022
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
16 May 2020 - 07 Nov 2021
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
16 May 2020 - 07 Nov 2021
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
01 Aug 2018 - 26 Apr 2020
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
01 Aug 2018 - 26 Apr 2020
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
01 Aug 2018 - 26 Apr 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Sep 2017 - 20 Jun 2018
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
27 Sep 2017 - 20 Jun 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
SHUM, WING CHUN
:
Chinese Name of Relevant Individual
岑榮駿
:
HKMA Registration Number
AH5904
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
11 Jul 2025
No
WEALTH MANAGEMENT SERVICES, WEALTH MANAGEMENT
DAH SING BANK, LIMITED
Type 4: advising on securities
11 Jul 2025
No
WEALTH MANAGEMENT SERVICES, WEALTH MANAGEMENT
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)
AH5904
DAH SING BANK, LIMITED
Type 1: dealing in securities
Since 11 Jul 2025
No
AH5904
DAH SING BANK, LIMITED
Type 4: advising on securities
Since 11 Jul 2025
No
AH5904
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Aug 2022 - 22 Jun 2025
No
AH5904
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Aug 2022 - 22 Jun 2025
No
AH5904
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
11 Jan 2022 - 17 Jun 2022
No
AH5904
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
11 Jan 2022 - 17 Jun 2022
No
AH5904
DAH SING BANK, LIMITED
Type 1: dealing in securities
16 May 2020 - 07 Nov 2021
No
AH5904
DAH SING BANK, LIMITED
Type 4: advising on securities
16 May 2020 - 07 Nov 2021
No
AH5904
HANG SENG BANK, LIMITED
Type 1: dealing in securities
01 Aug 2018 - 26 Apr 2020
No
AH5904
HANG SENG BANK, LIMITED
Type 4: advising on securities
01 Aug 2018 - 26 Apr 2020
No
AH5904
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
01 Aug 2018 - 26 Apr 2020
No
AH5904
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 Sep 2017 - 20 Jun 2018
No
AH5904
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
27 Sep 2017 - 20 Jun 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.