Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAU, KAM SAU CAROL
Chinese Name of Relevant Individual
邱錦秀
HKMA Registration Number
AA2949
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
09 Mar 2010
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
First date of engagement
09 Mar 2010
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK J. SAFRA SARASIN AG
SFC CE number
AHX499
Business Address
40/F, EDINBURGH TOWER, THE LANDMARK, 15 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
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 09 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 09 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Oct 2004 - 15 Nov 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 4: advising on securities
Effective Period
01 Oct 2004 - 15 Nov 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Oct 2004 - 02 Jan 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 25 Sep 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 25 Sep 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 25 Sep 2004
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
YAU, KAM SAU CAROL
:
Chinese Name of Relevant Individual
邱錦秀
:
HKMA Registration Number
AA2949
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
09 Mar 2010
No
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
09 Mar 2010
No
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
BANK J. SAFRA SARASIN AG
AHX499
40/F, EDINBURGH TOWER, THE LANDMARK, 15 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2949
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
Since 09 Mar 2010
No
AA2949
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
Since 09 Mar 2010
No
AA2949
CREDIT SUISSE
Type 1: dealing in securities
01 Oct 2004 - 15 Nov 2007
No
AA2949
CREDIT SUISSE
Type 4: advising on securities
01 Oct 2004 - 15 Nov 2007
No
AA2949
CREDIT SUISSE
Type 7: providing automated trading services
01 Oct 2004 - 02 Jan 2005
No
AA2949
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 25 Sep 2004
No
AA2949
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 25 Sep 2004
No
AA2949
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
01 Apr 2003 - 25 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.