Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, TSZ SHUN
Chinese Name of Relevant Individual
區子淳
HKMA Registration Number
AH9885
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
06 Aug 2022
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT, PRIVATE BANKING
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Aug 2022
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT, PRIVATE BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
SFC CE number
AAF138
Business Address
61-65, DES VOEUX 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
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 06 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 06 Aug 2022
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
23 Oct 2021 - 01 Jul 2022
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
23 Oct 2021 - 01 Jul 2022
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 Oct 2021 - 01 Jul 2022
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 Oct 2021 - 01 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Mar 2020 - 31 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Mar 2020 - 31 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Nov 2018 - 24 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Nov 2018 - 24 Jan 2020
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
AU, TSZ SHUN
:
Chinese Name of Relevant Individual
區子淳
:
HKMA Registration Number
AH9885
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
06 Aug 2022
No
RELATIONSHIP MANAGEMENT, PRIVATE BANKING
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
06 Aug 2022
No
RELATIONSHIP MANAGEMENT, PRIVATE BANKING
Name of Registered Institution
SFC CE number
Business Address
CHINA CITIC BANK INTERNATIONAL LIMITED
AAF138
61-65, DES VOEUX ROAD CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH9885
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 06 Aug 2022
No
AH9885
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
Since 06 Aug 2022
No
AH9885
CITIBANK, N.A.
Type 1: dealing in securities
23 Oct 2021 - 01 Jul 2022
No
AH9885
CITIBANK, N.A.
Type 4: advising on securities
23 Oct 2021 - 01 Jul 2022
No
AH9885
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Oct 2021 - 01 Jul 2022
No
AH9885
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
22 Oct 2021 - 01 Jul 2022
No
AH9885
DAH SING BANK, LIMITED
Type 1: dealing in securities
14 Mar 2020 - 31 Aug 2021
No
AH9885
DAH SING BANK, LIMITED
Type 4: advising on securities
14 Mar 2020 - 31 Aug 2021
No
AH9885
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
02 Nov 2018 - 24 Jan 2020
No
AH9885
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
02 Nov 2018 - 24 Jan 2020
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.