Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, CHUN HEI ALEXANDER
Chinese Name of Relevant Individual
區浚曦
HKMA Registration Number
AH9247
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
31 May 2022 - 11 Aug 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
31 May 2022 - 11 Aug 2023
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
06 Sep 2018 - 11 Oct 2019
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
06 Sep 2018 - 11 Oct 2019
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, CHUN HEI ALEXANDER
:
Chinese Name of Relevant Individual
區浚曦
:
HKMA Registration Number
AH9247
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH9247
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
31 May 2022 - 11 Aug 2023
No
AH9247
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
31 May 2022 - 11 Aug 2023
No
AH9247
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
06 Sep 2018 - 11 Oct 2019
No
AH9247
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
06 Sep 2018 - 11 Oct 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.