Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, KIT SUM RUTH
Chinese Name of Relevant Individual
廖潔心
HKMA Registration Number
AH7295
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
02 Apr 2025
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS SALES AND MANAGEMENT
Remarks
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
02 Apr 2025
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS SALES AND MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
SFC CE number
AAJ281
Business Address
SHANGHAI COMMERCIAL BANK TOWER, 12 QUEEN'S ROAD CENTRAL, 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
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 02 Apr 2025
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
Since 02 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Aug 2023 - 02 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Aug 2023 - 02 Feb 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
21 Mar 2022 - 12 Jul 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
21 Mar 2022 - 12 Jul 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
21 Mar 2022 - 12 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jul 2019 - 16 Feb 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jul 2019 - 16 Feb 2022
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
07 Mar 2018 - 09 Jun 2019
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 Mar 2018 - 09 Jun 2019
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
LIU, KIT SUM RUTH
:
Chinese Name of Relevant Individual
廖潔心
:
HKMA Registration Number
AH7295
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
02 Apr 2025
No
BUSINESS SALES AND MANAGEMENT
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
02 Apr 2025
No
BUSINESS SALES AND MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
SHANGHAI COMMERCIAL BANK LIMITED
AAJ281
SHANGHAI COMMERCIAL BANK TOWER, 12 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH7295
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
Since 02 Apr 2025
No
AH7295
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
Since 02 Apr 2025
No
AH7295
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
07 Aug 2023 - 02 Feb 2025
No
AH7295
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
07 Aug 2023 - 02 Feb 2025
No
AH7295
HANG SENG BANK, LIMITED
Type 1: dealing in securities
21 Mar 2022 - 12 Jul 2023
No
AH7295
HANG SENG BANK, LIMITED
Type 4: advising on securities
21 Mar 2022 - 12 Jul 2023
No
AH7295
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
21 Mar 2022 - 12 Jul 2023
No
AH7295
CHONG HING BANK LIMITED
Type 1: dealing in securities
20 Jul 2019 - 16 Feb 2022
No
AH7295
CHONG HING BANK LIMITED
Type 4: advising on securities
20 Jul 2019 - 16 Feb 2022
No
AH7295
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
07 Mar 2018 - 09 Jun 2019
No
AH7295
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
07 Mar 2018 - 09 Jun 2019
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.