Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
SUM, KA HOE ERIC
Chinese Name of Relevant Individual

沈嘉灝
HKMA Registration Number
AH9441
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
25 Sep 2018
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT, CORPORATE AND INSTITUTIONAL BANKING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Sep 2018
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT, CORPORATE AND INSTITUTIONAL BANKING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
25 Sep 2018
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT, CORPORATE AND INSTITUTIONAL BANKING
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
SUM, KA HOE ERIC
:
Chinese Name of Relevant Individual
沈嘉灝
:
HKMA Registration Number
AH9441
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
25 Sep 2018
No
VICE PRESIDENT, CORPORATE AND INSTITUTIONAL BANKING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
25 Sep 2018
No
VICE PRESIDENT, CORPORATE AND INSTITUTIONAL BANKING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
25 Sep 2018
No
VICE PRESIDENT, CORPORATE AND INSTITUTIONAL BANKING