Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHUM, WING KWONG
Chinese Name of Relevant Individual
岑永光
HKMA Registration Number
AH8172
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
07 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
TREASURES RELATIONSHIP MANAGER
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
07 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
TREASURES RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DBS BANK (HONG KONG) LIMITED
SFC CE number
AAL664
Business Address
11TH FLOOR, THE CENTER, 99 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
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 07 Aug 2024
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
Since 07 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jun 2023 - 02 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jun 2023 - 02 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jun 2023 - 02 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jun 2023 - 02 Jun 2024
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
19 Feb 2019 - 11 Apr 2023
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
19 Feb 2019 - 11 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jun 2018 - 15 Nov 2018
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
14 Jun 2018 - 15 Nov 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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 KWONG
:
Chinese Name of Relevant Individual
岑永光
:
HKMA Registration Number
AH8172
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Aug 2024
No
TREASURES RELATIONSHIP MANAGER
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Aug 2024
No
TREASURES RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
DBS BANK (HONG KONG) LIMITED
AAL664
11TH FLOOR, THE CENTER, 99 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH8172
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 07 Aug 2024
No
AH8172
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 07 Aug 2024
No
AH8172
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jun 2023 - 02 Jun 2024
No
AH8172
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
22 Jun 2023 - 02 Jun 2024
No
AH8172
CITIBANK, N.A.
Type 1: dealing in securities
22 Jun 2023 - 02 Jun 2024
No
AH8172
CITIBANK, N.A.
Type 4: advising on securities
22 Jun 2023 - 02 Jun 2024
No
AH8172
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
19 Feb 2019 - 11 Apr 2023
No
AH8172
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
19 Feb 2019 - 11 Apr 2023
No
AH8172
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
14 Jun 2018 - 15 Nov 2018
No
AH8172
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
14 Jun 2018 - 15 Nov 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.