Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SUM, CHOI YAN
Chinese Name of Relevant Individual
岑彩欣
HKMA Registration Number
AI6417
Current Registration
Not Applicable
Business Address
Not Applicable
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
28 Apr 2022 - 20 Jun 2022
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 2022 - 20 Jun 2022
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 2022 - 20 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Apr 2021 - 01 Mar 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Apr 2021 - 01 Mar 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
SUM, CHOI YAN
:
Chinese Name of Relevant Individual
岑彩欣
:
HKMA Registration Number
AI6417
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI6417
HANG SENG BANK, LIMITED
Type 1: dealing in securities
28 Apr 2022 - 20 Jun 2022
No
AI6417
HANG SENG BANK, LIMITED
Type 4: advising on securities
28 Apr 2022 - 20 Jun 2022
No
AI6417
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
28 Apr 2022 - 20 Jun 2022
No
AI6417
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
27 Apr 2021 - 01 Mar 2022
No
AI6417
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
27 Apr 2021 - 01 Mar 2022
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.