Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSE, KUNG SUI
Chinese Name of Relevant Individual
謝龔瑞
HKMA Registration Number
AI6475
Current Registration
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
20 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT & PORTFOLIO COUNSELLING SPECIALIST
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
20 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT & PORTFOLIO COUNSELLING SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 20 Aug 2024
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
Since 20 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Oct 2022 - 31 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
08 Oct 2022 - 31 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Oct 2022 - 31 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Oct 2022 - 31 Jan 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
22 Nov 2021 - 28 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2021 - 21 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 May 2021 - 21 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2021 - 21 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 May 2021 - 21 Nov 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
TSE, KUNG SUI
:
Chinese Name of Relevant Individual
謝龔瑞
:
HKMA Registration Number
AI6475
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
20 Aug 2024
No
INVESTMENT & PORTFOLIO COUNSELLING SPECIALIST
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
20 Aug 2024
No
INVESTMENT & PORTFOLIO COUNSELLING SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI6475
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 20 Aug 2024
No
AI6475
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 20 Aug 2024
No
AI6475
CITIBANK, N.A.
Type 1: dealing in securities
08 Oct 2022 - 31 Jan 2024
No
AI6475
CITIBANK, N.A.
Type 4: advising on securities
08 Oct 2022 - 31 Jan 2024
No
AI6475
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
08 Oct 2022 - 31 Jan 2024
No
AI6475
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
08 Oct 2022 - 31 Jan 2024
No
AI6475
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
22 Nov 2021 - 28 Sep 2022
No
AI6475
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 May 2021 - 21 Nov 2021
No
AI6475
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 May 2021 - 21 Nov 2021
No
AI6475
CITIBANK, N.A.
Type 1: dealing in securities
01 May 2021 - 21 Nov 2021
No
AI6475
CITIBANK, N.A.
Type 4: advising on securities
01 May 2021 - 21 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.