Register of Securities Staff of AIs

Last updated on 18/06/2026

Name of Relevant Individual

YU, LY WAN

Chinese Name of Relevant Individual

俞麗雲

HKMA Registration Number

AA2462

Current Registration

Not Applicable

Business Address

Conditions

Registration History

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

HKMA Registration Number

A

Registered Institution

EFG BANK AG

Regulated Activity

Type 1: dealing in securities

Effective Period

22 Oct 2013 - 01 Feb 2016

Is an Executive Officer? (Yes / No)

Yes

HKMA Registration Number

A

Registered Institution

EFG BANK AG

Regulated Activity

Type 1: dealing in securities

Effective Period

06 Feb 2012 - 21 Oct 2013

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

DEUTSCHE BANK AKTIENGESELLSCHAFT

Regulated Activity

Type 1: dealing in securities

Effective Period

01 Jun 2007 - 08 Feb 2009

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

HSBC PRIVATE BANK (SUISSE) SA

Regulated Activity

Type 1: dealing in securities

Effective Period

03 Apr 2006 - 14 May 2007

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

HSBC PRIVATE BANK (SUISSE) SA

Regulated Activity

Type 4: advising on securities

Effective Period

03 Apr 2006 - 14 May 2007

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

HANG SENG BANK, LIMITED

Regulated Activity

Type 1: dealing in securities

Effective Period

16 Jan 2006 - 19 Jan 2006

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

HANG SENG BANK, LIMITED

Regulated Activity

Type 4: advising on securities

Effective Period

16 Jan 2006 - 19 Jan 2006

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

HANG SENG BANK, LIMITED

Regulated Activity

Type 7: providing automated trading services

Effective Period

16 Jan 2006 - 19 Jan 2006

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

COUTTS BANK VON ERNST AG

Regulated Activity

Type 1: dealing in securities

Effective Period

17 Jun 2005 - 01 Jan 2006

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

DEUTSCHE BANK AKTIENGESELLSCHAFT

Regulated Activity

Type 1: dealing in securities

Effective Period

01 Apr 2003 - 01 Jun 2005

Is an Executive Officer? (Yes / No)

No

Records: 1-10 of 10

Public Disciplinary Actions

:

Name of Relevant Individual

YU, LY WAN

:

Chinese Name of Relevant Individual

俞麗雲

:

HKMA Registration Number

AA2462

Not Applicable

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

AA2462

EFG BANK AG

Type 1: dealing in securities

22 Oct 2013 - 01 Feb 2016

Yes

AA2462

EFG BANK AG

Type 1: dealing in securities

06 Feb 2012 - 21 Oct 2013

No

AA2462

DEUTSCHE BANK AKTIENGESELLSCHAFT

Type 1: dealing in securities

01 Jun 2007 - 08 Feb 2009

No

AA2462

HSBC PRIVATE BANK (SUISSE) SA

Type 1: dealing in securities

03 Apr 2006 - 14 May 2007

No

AA2462

HSBC PRIVATE BANK (SUISSE) SA

Type 4: advising on securities

03 Apr 2006 - 14 May 2007

No

AA2462

HANG SENG BANK, LIMITED

Type 1: dealing in securities

16 Jan 2006 - 19 Jan 2006

No

AA2462

HANG SENG BANK, LIMITED

Type 4: advising on securities

16 Jan 2006 - 19 Jan 2006

No

AA2462

HANG SENG BANK, LIMITED

Type 7: providing automated trading services

16 Jan 2006 - 19 Jan 2006

No

AA2462

COUTTS BANK VON ERNST AG

Type 1: dealing in securities

17 Jun 2005 - 01 Jan 2006

No

AA2462

DEUTSCHE BANK AKTIENGESELLSCHAFT

Type 1: dealing in securities

01 Apr 2003 - 01 Jun 2005

No