Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, LING FUNG
Chinese Name of Relevant Individual
區淩鋒
HKMA Registration Number
AI5969
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
03 Jan 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER, WM
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
03 Jan 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER, WM
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 03 Jan 2025
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
Since 03 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Nov 2024 - 01 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Nov 2024 - 01 Dec 2024
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
23 Nov 2023 - 08 Jul 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
23 Nov 2023 - 08 Jul 2024
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
11 Feb 2021 - 01 Nov 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
11 Feb 2021 - 01 Nov 2023
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
AU, LING FUNG
:
Chinese Name of Relevant Individual
區淩鋒
:
HKMA Registration Number
AI5969
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
03 Jan 2025
No
RELATIONSHIP MANAGER, WM
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
03 Jan 2025
No
RELATIONSHIP MANAGER, WM
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI5969
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 03 Jan 2025
No
AI5969
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 03 Jan 2025
No
AI5969
DAH SING BANK, LIMITED
Type 1: dealing in securities
02 Nov 2024 - 01 Dec 2024
No
AI5969
DAH SING BANK, LIMITED
Type 4: advising on securities
02 Nov 2024 - 01 Dec 2024
No
AI5969
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
23 Nov 2023 - 08 Jul 2024
No
AI5969
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
23 Nov 2023 - 08 Jul 2024
No
AI5969
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
11 Feb 2021 - 01 Nov 2023
No
AI5969
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
11 Feb 2021 - 01 Nov 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.