Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHUM, WANG FAI
Chinese Name of Relevant Individual
沈宏輝
HKMA Registration Number
AI4065
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
09 Sep 2025
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, BRANCHES
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
09 Sep 2025
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, BRANCHES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 09 Sep 2025
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
Since 09 Sep 2025
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
15 Jun 2022 - 23 Jul 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
15 Jun 2022 - 23 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Dec 2021 - 19 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
14 Dec 2021 - 19 Apr 2022
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
05 Mar 2020 - 14 Nov 2021
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
05 Mar 2020 - 14 Nov 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
SHUM, WANG FAI
:
Chinese Name of Relevant Individual
沈宏輝
:
HKMA Registration Number
AI4065
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Sep 2025
No
SALES, BRANCHES
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Sep 2025
No
SALES, BRANCHES
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI4065
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 09 Sep 2025
No
AI4065
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 09 Sep 2025
No
AI4065
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
15 Jun 2022 - 23 Jul 2025
No
AI4065
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
15 Jun 2022 - 23 Jul 2025
No
AI4065
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
14 Dec 2021 - 19 Apr 2022
No
AI4065
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
14 Dec 2021 - 19 Apr 2022
No
AI4065
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
05 Mar 2020 - 14 Nov 2021
No
AI4065
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
05 Mar 2020 - 14 Nov 2021
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.