Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSE, WING YIN
Chinese Name of Relevant Individual
謝頴姸
HKMA Registration Number
AC0608
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
25 Jul 2015
Is an Executive Officer? (Yes / No)
No
Capacity
BRANCH MANAGER
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Jul 2015
Is an Executive Officer? (Yes / No)
No
Capacity
BRANCH MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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 CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 25 Jul 2015
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
Since 25 Jul 2015
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
22 Oct 2008 - 17 May 2015
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
22 Oct 2008 - 17 May 2015
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
22 Oct 2008 - 17 May 2015
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
08 Jul 2008 - 15 Oct 2008
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
28 Apr 2008 - 15 Oct 2008
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
28 Apr 2008 - 15 Oct 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Apr 2007 - 31 Mar 2008
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
16 Jan 2006 - 14 Mar 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
16 Jan 2006 - 14 Mar 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2005 - 04 Jan 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jul 2005 - 04 Jan 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Apr 2005 - 07 Jul 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
20 Apr 2005 - 07 Jul 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 19
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, WING YIN
:
Chinese Name of Relevant Individual
謝頴姸
:
HKMA Registration Number
AC0608
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
25 Jul 2015
No
BRANCH MANAGER
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
25 Jul 2015
No
BRANCH MANAGER
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0608
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 25 Jul 2015
No
AC0608
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 25 Jul 2015
No
AC0608
HANG SENG BANK, LIMITED
Type 1: dealing in securities
22 Oct 2008 - 17 May 2015
No
AC0608
HANG SENG BANK, LIMITED
Type 4: advising on securities
22 Oct 2008 - 17 May 2015
No
AC0608
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
22 Oct 2008 - 17 May 2015
No
AC0608
HANG SENG BANK, LIMITED
Type 4: advising on securities
08 Jul 2008 - 15 Oct 2008
No
AC0608
HANG SENG BANK, LIMITED
Type 1: dealing in securities
28 Apr 2008 - 15 Oct 2008
No
AC0608
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
28 Apr 2008 - 15 Oct 2008
No
AC0608
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Apr 2007 - 31 Mar 2008
No
AC0608
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Jan 2006 - 14 Mar 2007
No
AC0608
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Jan 2006 - 14 Mar 2007
No
AC0608
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 04 Jan 2006
No
AC0608
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 04 Jan 2006
No
AC0608
CITIBANK, N.A.
Type 1: dealing in securities
20 Apr 2005 - 07 Jul 2005
No
AC0608
CITIBANK, N.A.
Type 4: advising on securities
20 Apr 2005 - 07 Jul 2005
No
AC0608
CITIBANK, N.A.
Type 1: dealing in securities
01 Feb 2005 - 14 Apr 2005
No
AC0608
CITIBANK, N.A.
Type 4: advising on securities
01 Feb 2005 - 14 Apr 2005
No
AC0608
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2004 - 02 Dec 2004
No
AC0608
STANDARD CHARTERED BANK
Type 1: dealing in securities
23 Sep 2003 - 30 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.