Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TANG, SUM YUE
Chinese Name of Relevant Individual
鄧琛諭
HKMA Registration Number
AI4971
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
24 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
24 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
First date of engagement
24 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HANG SENG BANK, LIMITED
SFC CE number
AAH297
Business Address
HANG SENG BANK BLDG., 83 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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 24 Mar 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
Since 24 Mar 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
Since 24 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jan 2025 - 15 Mar 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
28 Apr 2021 - 22 Nov 2024
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
28 Apr 2021 - 22 Nov 2024
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
28 Apr 2021 - 22 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Sep 2020 - 23 Mar 2021
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
03 Sep 2020 - 23 Mar 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
TANG, SUM YUE
:
Chinese Name of Relevant Individual
鄧琛諭
:
HKMA Registration Number
AI4971
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HANG SENG BANK, LIMITED
Type 1: dealing in securities
24 Mar 2026
No
CUSTOMER SERVICE
HANG SENG BANK, LIMITED
Type 4: advising on securities
24 Mar 2026
No
CUSTOMER SERVICE
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
24 Mar 2026
No
CUSTOMER SERVICE
Name of Registered Institution
SFC CE number
Business Address
HANG SENG BANK, LIMITED
AAH297
HANG SENG BANK BLDG., 83 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI4971
HANG SENG BANK, LIMITED
Type 1: dealing in securities
Since 24 Mar 2026
No
AI4971
HANG SENG BANK, LIMITED
Type 4: advising on securities
Since 24 Mar 2026
No
AI4971
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
Since 24 Mar 2026
No
AI4971
OCBC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
29 Jan 2025 - 15 Mar 2026
No
AI4971
HANG SENG BANK, LIMITED
Type 1: dealing in securities
28 Apr 2021 - 22 Nov 2024
No
AI4971
HANG SENG BANK, LIMITED
Type 4: advising on securities
28 Apr 2021 - 22 Nov 2024
No
AI4971
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
28 Apr 2021 - 22 Nov 2024
No
AI4971
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Sep 2020 - 23 Mar 2021
No
AI4971
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Sep 2020 - 23 Mar 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.