Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SUN, KA YUEN
Chinese Name of Relevant Individual
孫嘉源
HKMA Registration Number
AI2976
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
17 Feb 2026
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT FINANCIAL PLANNING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
17 Feb 2026
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT FINANCIAL PLANNING
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 17 Feb 2026
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 17 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Aug 2024 - 01 Jan 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Aug 2024 - 01 Jan 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
02 Aug 2024 - 01 Jan 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Nov 2023 - 01 Jun 2024
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
22 Nov 2023 - 01 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Aug 2023 - 30 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
10 Aug 2023 - 30 Oct 2023
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
05 Oct 2019 - 28 Apr 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
05 Oct 2019 - 28 Apr 2023
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
SUN, KA YUEN
:
Chinese Name of Relevant Individual
孫嘉源
:
HKMA Registration Number
AI2976
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
17 Feb 2026
No
VICE PRESIDENT FINANCIAL PLANNING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
17 Feb 2026
No
VICE PRESIDENT FINANCIAL PLANNING
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)
AI2976
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 17 Feb 2026
No
AI2976
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 17 Feb 2026
No
AI2976
HANG SENG BANK, LIMITED
Type 1: dealing in securities
02 Aug 2024 - 01 Jan 2026
No
AI2976
HANG SENG BANK, LIMITED
Type 4: advising on securities
02 Aug 2024 - 01 Jan 2026
No
AI2976
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
02 Aug 2024 - 01 Jan 2026
No
AI2976
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
22 Nov 2023 - 01 Jun 2024
No
AI2976
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
22 Nov 2023 - 01 Jun 2024
No
AI2976
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
10 Aug 2023 - 30 Oct 2023
No
AI2976
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
10 Aug 2023 - 30 Oct 2023
No
AI2976
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
05 Oct 2019 - 28 Apr 2023
No
AI2976
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Oct 2019 - 28 Apr 2023
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.