Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FUNG, TSZ SUM
Chinese Name of Relevant Individual
馮子琛
HKMA Registration Number
AI0804
Current Registration
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
27 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
27 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 27 Aug 2025
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
Since 27 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Feb 2022 - 31 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Feb 2019 - 31 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Feb 2019 - 31 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
11 Feb 2019 - 31 May 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
FUNG, TSZ SUM
:
Chinese Name of Relevant Individual
馮子琛
:
HKMA Registration Number
AI0804
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
27 Aug 2025
No
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
27 Aug 2025
No
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI0804
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 27 Aug 2025
No
AI0804
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 27 Aug 2025
No
AI0804
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 4: advising on securities
07 Feb 2022 - 31 May 2022
No
AI0804
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
11 Feb 2019 - 31 May 2022
No
AI0804
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
11 Feb 2019 - 31 May 2022
No
AI0804
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
11 Feb 2019 - 31 May 2022
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.