Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, LAI YEE
Chinese Name of Relevant Individual
蘇麗儀
HKMA Registration Number
AA3066
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 CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Sep 2013 - 24 Sep 2017
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
05 Sep 2013 - 24 Sep 2017
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
26 Mar 2012 - 31 Aug 2012
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
26 Mar 2012 - 31 Aug 2012
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
27 Apr 2007 - 31 Dec 2010
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
12 Jan 2007 - 31 Dec 2010
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
12 Jan 2007 - 31 Dec 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
01 Apr 2003 - 01 Jan 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
01 Apr 2003 - 01 Jan 2007
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: 1-10 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
SO, LAI YEE
:
Chinese Name of Relevant Individual
蘇麗儀
:
HKMA Registration Number
AA3066
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA3066
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
05 Sep 2013 - 24 Sep 2017
No
AA3066
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
05 Sep 2013 - 24 Sep 2017
No
AA3066
HANG SENG BANK, LIMITED
Type 1: dealing in securities
26 Mar 2012 - 31 Aug 2012
No
AA3066
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
26 Mar 2012 - 31 Aug 2012
No
AA3066
HANG SENG BANK, LIMITED
Type 4: advising on securities
27 Apr 2007 - 31 Dec 2010
No
AA3066
HANG SENG BANK, LIMITED
Type 1: dealing in securities
12 Jan 2007 - 31 Dec 2010
No
AA3066
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
12 Jan 2007 - 31 Dec 2010
No
AA3066
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 01 Jan 2007
No
AA3066
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 01 Jan 2007
No
AA3066
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.