Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSE, WING YAN
Chinese Name of Relevant Individual
謝穎欣
HKMA Registration Number
AC5184
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
16 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT SERVICE OFFICER
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
16 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT SERVICE OFFICER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
EFG BANK AG
SFC CE number
AFV863
Business Address
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
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
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 16 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 16 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Aug 2022 - 26 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
29 Aug 2022 - 26 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Oct 2016 - 20 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
04 Oct 2016 - 20 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
17 May 2016
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
07 Aug 2013 - 13 Apr 2016
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
07 Aug 2013 - 13 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
14 May 2013 - 30 Jul 2013
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
29 Oct 2010 - 12 Apr 2013
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
29 Oct 2010 - 12 Apr 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Feb 2008 - 19 Oct 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
28 Feb 2008 - 19 Oct 2010
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 YAN
:
Chinese Name of Relevant Individual
謝穎欣
:
HKMA Registration Number
AC5184
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
EFG BANK AG
Type 1: dealing in securities
16 Aug 2025
No
CLIENT SERVICE OFFICER
EFG BANK AG
Type 4: advising on securities
16 Aug 2025
No
CLIENT SERVICE OFFICER
Name of Registered Institution
SFC CE number
Business Address
EFG BANK AG
AFV863
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5184
EFG BANK AG
Type 1: dealing in securities
Since 16 Aug 2025
No
AC5184
EFG BANK AG
Type 4: advising on securities
Since 16 Aug 2025
No
AC5184
ROYAL BANK OF CANADA
Type 1: dealing in securities
29 Aug 2022 - 26 Jun 2025
No
AC5184
ROYAL BANK OF CANADA
Type 4: advising on securities
29 Aug 2022 - 26 Jun 2025
No
AC5184
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
04 Oct 2016 - 20 Jun 2022
No
AC5184
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
04 Oct 2016 - 20 Jun 2022
No
AC5184
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
17 May 2016
No
AC5184
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
17 May 2016
No
AC5184
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Aug 2013 - 13 Apr 2016
No
AC5184
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Aug 2013 - 13 Apr 2016
No
AC5184
UBS AG
Type 1: dealing in securities
14 May 2013 - 30 Jul 2013
No
AC5184
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
29 Oct 2010 - 12 Apr 2013
No
AC5184
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
29 Oct 2010 - 12 Apr 2013
No
AC5184
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
28 Feb 2008 - 19 Oct 2010
No
AC5184
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
28 Feb 2008 - 19 Oct 2010
No
AC5184
UBS AG
Type 1: dealing in securities
21 Aug 2007 - 14 Nov 2007
No
AC5184
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 Sep 2006 - 27 Jul 2007
No
AC5184
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Apr 2005 - 06 Jul 2006
No
AC5184
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Apr 2005 - 06 Jul 2006
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.