Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MAN, KAI SUM
Chinese Name of Relevant Individual
文棨琛
HKMA Registration Number
AJ0545
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
01 Jan 2026
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT MANAGER, HSBC PREMIER
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
01 Jan 2026
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT MANAGER, HSBC PREMIER
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 01 Jan 2026
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 01 Jan 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jun 2025 - 08 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jun 2025 - 08 Oct 2025
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
23 Sep 2022 - 30 Apr 2025
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
23 Sep 2022 - 30 Apr 2025
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
23 Sep 2022 - 30 Apr 2025
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
23 Sep 2022 - 30 Apr 2025
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
MAN, KAI SUM
:
Chinese Name of Relevant Individual
文棨琛
:
HKMA Registration Number
AJ0545
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
01 Jan 2026
No
ASSISTANT MANAGER, HSBC PREMIER
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Jan 2026
No
ASSISTANT MANAGER, HSBC PREMIER
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)
AJ0545
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 01 Jan 2026
No
AJ0545
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 01 Jan 2026
No
AJ0545
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
14 Jun 2025 - 08 Oct 2025
No
AJ0545
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
14 Jun 2025 - 08 Oct 2025
No
AJ0545
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Sep 2022 - 30 Apr 2025
No
AJ0545
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
23 Sep 2022 - 30 Apr 2025
No
AJ0545
CITIBANK, N.A.
Type 1: dealing in securities
23 Sep 2022 - 30 Apr 2025
No
AJ0545
CITIBANK, N.A.
Type 4: advising on securities
23 Sep 2022 - 30 Apr 2025
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.