Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YIP, TSUN WAH ALVAN
Chinese Name of Relevant Individual
葉俊華
HKMA Registration Number
AC5038
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
30 Oct 2010 - 03 May 2012
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
30 Oct 2010 - 03 May 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Aug 2008 - 02 Aug 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
14 Aug 2008 - 02 Aug 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ING BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jun 2008 - 30 Jul 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ING BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Aug 2007 - 15 Jun 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AMERICAN EXPRESS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 May 2007 - 20 Aug 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jun 2006 - 20 May 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jun 2006 - 20 May 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Mar 2005 - 10 Nov 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
16 Mar 2005 - 10 Nov 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 7: providing automated trading services
Effective Period
16 Mar 2005 - 21 Mar 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
YIP, TSUN WAH ALVAN
:
Chinese Name of Relevant Individual
葉俊華
:
HKMA Registration Number
AC5038
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5038
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
30 Oct 2010 - 03 May 2012
No
AC5038
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
30 Oct 2010 - 03 May 2012
No
AC5038
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
14 Aug 2008 - 02 Aug 2009
No
AC5038
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
14 Aug 2008 - 02 Aug 2009
No
AC5038
ING BANK N.V.
Type 1: dealing in securities
19 Jun 2008 - 30 Jul 2008
No
AC5038
ING BANK N.V.
Type 1: dealing in securities
27 Aug 2007 - 15 Jun 2008
No
AC5038
AMERICAN EXPRESS BANK LIMITED
Type 1: dealing in securities
30 May 2007 - 20 Aug 2007
No
AC5038
UNITED OVERSEAS BANK LTD.
Type 1: dealing in securities
06 Jun 2006 - 20 May 2007
No
AC5038
UNITED OVERSEAS BANK LTD.
Type 4: advising on securities
06 Jun 2006 - 20 May 2007
No
AC5038
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
16 Mar 2005 - 10 Nov 2005
No
AC5038
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
16 Mar 2005 - 10 Nov 2005
No
AC5038
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 7: providing automated trading services
16 Mar 2005 - 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.