Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSE, JOANNE CHOI YEE
Chinese Name of Relevant Individual
謝采頤
HKMA Registration Number
AA3014
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 J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
03 May 2021 - 30 Jun 2022
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
03 May 2021 - 30 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2019 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 4: advising on securities
Effective Period
01 Nov 2019 - 30 Apr 2021
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
04 Jun 2010 - 25 Oct 2019
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
04 Jun 2010 - 25 Oct 2019
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
04 Jun 2010 - 25 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Dec 2007 - 25 Apr 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
21 Dec 2007 - 25 Apr 2010
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
17 Sep 2005 - 02 Dec 2007
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
17 Sep 2005 - 02 Dec 2007
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 - 13 Sep 2005
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 - 13 Sep 2005
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 - 21 Mar 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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
TSE, JOANNE CHOI YEE
:
Chinese Name of Relevant Individual
謝采頤
:
HKMA Registration Number
AA3014
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA3014
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
03 May 2021 - 30 Jun 2022
No
AA3014
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
03 May 2021 - 30 Jun 2022
No
AA3014
BANK OF MONTREAL
Type 1: dealing in securities
01 Nov 2019 - 30 Apr 2021
No
AA3014
BANK OF MONTREAL
Type 4: advising on securities
01 Nov 2019 - 30 Apr 2021
No
AA3014
HANG SENG BANK, LIMITED
Type 1: dealing in securities
04 Jun 2010 - 25 Oct 2019
No
AA3014
HANG SENG BANK, LIMITED
Type 4: advising on securities
04 Jun 2010 - 25 Oct 2019
No
AA3014
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
04 Jun 2010 - 25 Oct 2019
No
AA3014
CREDIT SUISSE AG
Type 1: dealing in securities
21 Dec 2007 - 25 Apr 2010
No
AA3014
CREDIT SUISSE AG
Type 4: advising on securities
21 Dec 2007 - 25 Apr 2010
No
AA3014
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Sep 2005 - 02 Dec 2007
No
AA3014
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
17 Sep 2005 - 02 Dec 2007
No
AA3014
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 13 Sep 2005
No
AA3014
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 13 Sep 2005
No
AA3014
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
01 Apr 2003 - 21 Mar 2005
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.