Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, CHAN HUNG JAMES
Chinese Name of Relevant Individual
歐展鴻
HKMA Registration Number
AH6454
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
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Aug 2020 - 24 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
31 Aug 2020 - 24 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Feb 2018 - 05 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Nov 2017 - 05 Jul 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, CHAN HUNG JAMES
:
Chinese Name of Relevant Individual
歐展鴻
:
HKMA Registration Number
AH6454
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH6454
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Type 1: dealing in securities
31 Aug 2020 - 24 Oct 2021
No
AH6454
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Type 4: advising on securities
31 Aug 2020 - 24 Oct 2021
No
AH6454
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
07 Feb 2018 - 05 Jul 2020
No
AH6454
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
25 Nov 2017 - 05 Jul 2020
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.