Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, KA HUNG REGINALD
Chinese Name of Relevant Individual
區迦熊
HKMA Registration Number
AH6588
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
31 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
31 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
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 31 Jul 2025
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 31 Jul 2025
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
27 Oct 2023 - 27 Jun 2025
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
27 Oct 2023 - 27 Jun 2025
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 Apr 2022 - 23 Sep 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 Apr 2022 - 23 Sep 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 Apr 2022 - 23 Sep 2023
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
12 Dec 2017 - 02 Feb 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
12 Dec 2017 - 02 Feb 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, KA HUNG REGINALD
:
Chinese Name of Relevant Individual
區迦熊
:
HKMA Registration Number
AH6588
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
31 Jul 2025
No
RELATIONSHIP MANAGER
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
31 Jul 2025
No
RELATIONSHIP MANAGER
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)
AH6588
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 31 Jul 2025
No
AH6588
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 31 Jul 2025
No
AH6588
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
27 Oct 2023 - 27 Jun 2025
No
AH6588
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
27 Oct 2023 - 27 Jun 2025
No
AH6588
HANG SENG BANK, LIMITED
Type 1: dealing in securities
14 Apr 2022 - 23 Sep 2023
No
AH6588
HANG SENG BANK, LIMITED
Type 4: advising on securities
14 Apr 2022 - 23 Sep 2023
No
AH6588
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
14 Apr 2022 - 23 Sep 2023
No
AH6588
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
12 Dec 2017 - 02 Feb 2022
No
AH6588
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
12 Dec 2017 - 02 Feb 2022
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.