AU, WING SUM (HKMA registration number AG9720) is a relevant individual on the HKMA Register of Securities Staff of Authorized Institutions. Currently registered to carry on regulated activities at HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE). Has been engaged at 2 authorized institutions over time.
| Registered Institution | Regulated Activity | Exec. Officer | Capacity | First engaged |
|---|---|---|---|---|
| HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) | RA 1 Type 1: dealing in securities | No | VICE PRESIDENT, COMMERCIAL BANKING | 2017-09-30 |
| HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) | RA 4 Type 4: advising on securities | No | VICE PRESIDENT, COMMERCIAL BANKING | 2017-09-30 |
| Registered Institution | SFC CE No. | Address |
|---|---|---|
| HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) | AAA523 | 1 QUEEN'S ROAD CENTRAL, HONG KONG. |