Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
SO, ALISON
Chinese Name of Relevant Individual

蘇明琛
HKMA Registration Number
AI3236
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
01 Nov 2019
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
01 Nov 2019
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
SO, ALISON
:
Chinese Name of Relevant Individual
蘇明琛
:
HKMA Registration Number
AI3236
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
01 Nov 2019
No
RELATIONSHIP MANAGEMENT
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Nov 2019
No
RELATIONSHIP MANAGEMENT