Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HO, WAI YAN
Chinese Name of Relevant Individual
何惠欣
HKMA Registration Number
AA0863
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
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jan 2024 - 09 Nov 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
06 Jan 2024 - 09 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Feb 2017 - 05 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 Feb 2017 - 05 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Mar 2008 - 06 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Mar 2008 - 06 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING HANG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Feb 2007 - 11 Mar 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 05 Oct 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 05 Oct 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 05 Sep 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
HO, WAI YAN
:
Chinese Name of Relevant Individual
何惠欣
:
HKMA Registration Number
AA0863
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA0863
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
06 Jan 2024 - 09 Nov 2025
No
AA0863
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
06 Jan 2024 - 09 Nov 2025
No
AA0863
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
17 Feb 2017 - 05 Nov 2023
No
AA0863
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
17 Feb 2017 - 05 Nov 2023
No
AA0863
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
03 Mar 2008 - 06 Jul 2015
No
AA0863
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
03 Mar 2008 - 06 Jul 2015
No
AA0863
WING HANG BANK, LIMITED
Type 1: dealing in securities
02 Feb 2007 - 11 Mar 2007
No
AA0863
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 05 Oct 2006
No
AA0863
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 05 Oct 2006
No
AA0863
BANK OF CHINA (HONG KONG) LIMITED
Type 7: providing automated trading services
01 Apr 2003 - 05 Sep 2004
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.