Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
POON, LAP SHEUNG
Chinese Name of Relevant Individual
潘立嫦
HKMA Registration Number
AI1775
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
22 May 2026
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT, CITICDIAMOND
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
22 May 2026
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT, CITICDIAMOND
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 22 May 2026
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 22 May 2026
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 2023 - 26 Apr 2026
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 2023 - 26 Apr 2026
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
30 Jun 2022 - 02 Dec 2022
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
30 Jun 2022 - 02 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
PUBLIC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jun 2019 - 29 May 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
POON, LAP SHEUNG
:
Chinese Name of Relevant Individual
潘立嫦
:
HKMA Registration Number
AI1775
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
22 May 2026
No
RELATIONSHIP MANAGEMENT, CITICDIAMOND
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
22 May 2026
No
RELATIONSHIP MANAGEMENT, CITICDIAMOND
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)
AI1775
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 22 May 2026
No
AI1775
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
Since 22 May 2026
No
AI1775
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
14 Jun 2023 - 26 Apr 2026
No
AI1775
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
14 Jun 2023 - 26 Apr 2026
No
AI1775
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
30 Jun 2022 - 02 Dec 2022
No
AI1775
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
30 Jun 2022 - 02 Dec 2022
No
AI1775
PUBLIC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Jun 2019 - 29 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.