Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, WING YAN
Chinese Name of Relevant Individual
蘇泳茵
HKMA Registration Number
AC6479
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 EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2007 - 17 Apr 2017
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
01 May 2007 - 17 Apr 2017
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
08 Aug 2005 - 10 Sep 2006
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
08 Aug 2005 - 10 Sep 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
SO, WING YAN
:
Chinese Name of Relevant Individual
蘇泳茵
:
HKMA Registration Number
AC6479
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6479
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
01 May 2007 - 17 Apr 2017
No
AC6479
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
01 May 2007 - 17 Apr 2017
No
AC6479
HANG SENG BANK, LIMITED
Type 1: dealing in securities
08 Aug 2005 - 10 Sep 2006
No
AC6479
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
08 Aug 2005 - 10 Sep 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.