Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SAM, HIU YING
Chinese Name of Relevant Individual
岑曉瑩
HKMA Registration Number
AC6022
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
15 Jul 2023 - 31 Dec 2024
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
15 Jul 2023 - 31 Dec 2024
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
12 Mar 2022 - 14 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 Mar 2022 - 14 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Jul 2021 - 15 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
31 Jul 2021 - 15 Nov 2021
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
07 Jan 2020 - 04 Jul 2021
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
07 Jan 2020 - 04 Jul 2021
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
07 Jan 2020 - 04 Jul 2021
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
26 Mar 2019 - 20 Sep 2019
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
26 Mar 2019 - 20 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Sep 2018 - 16 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Sep 2018 - 16 Jan 2019
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
21 Apr 2015 - 29 Jun 2018
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
21 Apr 2015 - 29 Jun 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 24
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
SAM, HIU YING
:
Chinese Name of Relevant Individual
岑曉瑩
:
HKMA Registration Number
AC6022
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6022
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
15 Jul 2023 - 31 Dec 2024
No
AC6022
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
15 Jul 2023 - 31 Dec 2024
No
AC6022
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
12 Mar 2022 - 14 Jun 2023
No
AC6022
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
12 Mar 2022 - 14 Jun 2023
No
AC6022
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
31 Jul 2021 - 15 Nov 2021
No
AC6022
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
31 Jul 2021 - 15 Nov 2021
No
AC6022
HANG SENG BANK, LIMITED
Type 1: dealing in securities
07 Jan 2020 - 04 Jul 2021
No
AC6022
HANG SENG BANK, LIMITED
Type 4: advising on securities
07 Jan 2020 - 04 Jul 2021
No
AC6022
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
07 Jan 2020 - 04 Jul 2021
No
AC6022
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
26 Mar 2019 - 20 Sep 2019
No
AC6022
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
26 Mar 2019 - 20 Sep 2019
No
AC6022
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
28 Sep 2018 - 16 Jan 2019
No
AC6022
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
28 Sep 2018 - 16 Jan 2019
No
AC6022
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Apr 2015 - 29 Jun 2018
No
AC6022
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Apr 2015 - 29 Jun 2018
No
AC6022
HANG SENG BANK, LIMITED
Type 1: dealing in securities
21 Mar 2014 - 25 Feb 2015
No
AC6022
HANG SENG BANK, LIMITED
Type 4: advising on securities
21 Mar 2014 - 25 Feb 2015
No
AC6022
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
21 Mar 2014 - 25 Feb 2015
No
AC6022
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Aug 2011 - 03 Feb 2014
No
AC6022
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Aug 2011 - 03 Feb 2014
No
AC6022
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
21 Aug 2010 - 03 Aug 2011
No
AC6022
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
21 Aug 2010 - 03 Aug 2011
No
AC6022
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
25 Jun 2005 - 01 Jul 2010
No
AC6022
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
25 Jun 2005 - 01 Jul 2010
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.