Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YUEN, NGAI YUN FRANCIS
Chinese Name of Relevant Individual
原毅人
HKMA Registration Number
AC0201
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
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Apr 2015 - 20 Jan 2020
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
07 Apr 2015 - 20 Jan 2020
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
13 Nov 2013 - 06 Jun 2014
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
13 Nov 2013 - 06 Jun 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LTD.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
09 Nov 2011 - 18 Feb 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FORTIS BANK
Regulated Activity
Type 4: advising on securities
Effective Period
01 Dec 2004 - 17 Nov 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FORTIS BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Aug 2004 - 17 Nov 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BELGIAN BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2003 - 25 Aug 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
YUEN, NGAI YUN FRANCIS
:
Chinese Name of Relevant Individual
原毅人
:
HKMA Registration Number
AC0201
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0201
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
07 Apr 2015 - 20 Jan 2020
No
AC0201
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
07 Apr 2015 - 20 Jan 2020
No
AC0201
HANG SENG BANK, LIMITED
Type 1: dealing in securities
13 Nov 2013 - 06 Jun 2014
No
AC0201
HANG SENG BANK, LIMITED
Type 4: advising on securities
13 Nov 2013 - 06 Jun 2014
No
AC0201
OVERSEA-CHINESE BANKING CORPORATION LTD.
Type 6: advising on corporate finance
09 Nov 2011 - 18 Feb 2013
No
AC0201
FORTIS BANK
Type 4: advising on securities
01 Dec 2004 - 17 Nov 2005
No
AC0201
FORTIS BANK
Type 1: dealing in securities
27 Aug 2004 - 17 Nov 2005
No
AC0201
BELGIAN BANK
Type 1: dealing in securities
01 Jul 2003 - 25 Aug 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.