Register of Securities Staff of AIs

Last updated on 18/06/2026
< SEARCH AGAIN
Name of Relevant Individual
AU-YEUNG, SHUM YAN
Chinese Name of Relevant Individual

歐陽沈欣
HKMA Registration Number
AJ4285
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
23 Mar 2024
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH & PERSONAL BANKING EXECUTIVE (BUSINESS RELATIONSHIP)
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
23 Mar 2024
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH & PERSONAL BANKING EXECUTIVE (BUSINESS RELATIONSHIP)
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
AU-YEUNG, SHUM YAN
:
Chinese Name of Relevant Individual
歐陽沈欣
:
HKMA Registration Number
AJ4285
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
23 Mar 2024
No
WEALTH & PERSONAL BANKING EXECUTIVE (BUSINESS RELATIONSHIP)
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
23 Mar 2024
No
WEALTH & PERSONAL BANKING EXECUTIVE (BUSINESS RELATIONSHIP)