Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KOK, HIU YAN
Chinese Name of Relevant Individual
郝曉欣
HKMA Registration Number
AC0382
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
06 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICES OFFICER
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICES OFFICER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
SFC CE number
BJN782
Business Address
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, 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 OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 06 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 06 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Aug 2007 - 26 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Aug 2007 - 26 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jan 2006 - 23 Jun 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
13 Jan 2006 - 23 Jun 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Aug 2003 - 08 Jun 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS
Regulated Activity
Type 4: advising on securities
Effective Period
03 Aug 2003 - 08 Jun 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS
Regulated Activity
Type 7: providing automated trading services
Effective Period
03 Aug 2003 - 10 Jun 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
KOK, HIU YAN
:
Chinese Name of Relevant Individual
郝曉欣
:
HKMA Registration Number
AC0382
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
06 Jun 2024
No
CUSTOMER SERVICES OFFICER
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
06 Jun 2024
No
CUSTOMER SERVICES OFFICER
Name of Registered Institution
SFC CE number
Business Address
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
BJN782
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0382
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
Since 06 Jun 2024
No
AC0382
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
Since 06 Jun 2024
No
AC0382
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
25 Aug 2007 - 26 Apr 2024
No
AC0382
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
25 Aug 2007 - 26 Apr 2024
No
AC0382
CHINA CONSTRUCTION BANK CORPORATION
Type 1: dealing in securities
13 Jan 2006 - 23 Jun 2007
No
AC0382
CHINA CONSTRUCTION BANK CORPORATION
Type 4: advising on securities
13 Jan 2006 - 23 Jun 2007
No
AC0382
BANK OF COMMUNICATIONS
Type 1: dealing in securities
03 Aug 2003 - 08 Jun 2005
No
AC0382
BANK OF COMMUNICATIONS
Type 4: advising on securities
03 Aug 2003 - 08 Jun 2005
No
AC0382
BANK OF COMMUNICATIONS
Type 7: providing automated trading services
03 Aug 2003 - 10 Jun 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.