Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MA, KWOK YIU MARKIEVEN
Chinese Name of Relevant Individual
馬國耀
HKMA Registration Number
AC6480
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
18 Aug 2018
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS SALES AND MANAGEMENT
Remarks
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
18 Aug 2018
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS SALES AND MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
SFC CE number
AAJ281
Business Address
SHANGHAI COMMERCIAL BANK TOWER, 12 QUEEN'S ROAD CENTRAL, 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
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 18 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 18 Aug 2018
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
05 Mar 2018 - 24 Jul 2018
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
05 Mar 2018 - 24 Jul 2018
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
05 Mar 2018 - 24 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jun 2016 - 14 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jun 2016 - 14 Jan 2018
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
12 Jun 2015 - 29 May 2016
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
12 Jun 2015 - 29 May 2016
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
04 Nov 2013 - 27 Sep 2014
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
04 Nov 2013 - 27 Sep 2014
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
04 Nov 2013 - 27 Sep 2014
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
05 Mar 2011 - 16 Jul 2013
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
05 Mar 2011 - 16 Jul 2013
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
12 Nov 2005 - 12 Sep 2010
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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
MA, KWOK YIU MARKIEVEN
:
Chinese Name of Relevant Individual
馬國耀
:
HKMA Registration Number
AC6480
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
18 Aug 2018
No
BUSINESS SALES AND MANAGEMENT
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
18 Aug 2018
No
BUSINESS SALES AND MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
SHANGHAI COMMERCIAL BANK LIMITED
AAJ281
SHANGHAI COMMERCIAL BANK TOWER, 12 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6480
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
Since 18 Aug 2018
No
AC6480
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
Since 18 Aug 2018
No
AC6480
HANG SENG BANK, LIMITED
Type 1: dealing in securities
05 Mar 2018 - 24 Jul 2018
No
AC6480
HANG SENG BANK, LIMITED
Type 4: advising on securities
05 Mar 2018 - 24 Jul 2018
No
AC6480
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
05 Mar 2018 - 24 Jul 2018
No
AC6480
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
22 Jun 2016 - 14 Jan 2018
No
AC6480
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
22 Jun 2016 - 14 Jan 2018
No
AC6480
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
12 Jun 2015 - 29 May 2016
No
AC6480
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
12 Jun 2015 - 29 May 2016
No
AC6480
HANG SENG BANK, LIMITED
Type 1: dealing in securities
04 Nov 2013 - 27 Sep 2014
No
AC6480
HANG SENG BANK, LIMITED
Type 4: advising on securities
04 Nov 2013 - 27 Sep 2014
No
AC6480
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
04 Nov 2013 - 27 Sep 2014
No
AC6480
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
05 Mar 2011 - 16 Jul 2013
No
AC6480
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Mar 2011 - 16 Jul 2013
No
AC6480
HANG SENG BANK, LIMITED
Type 4: advising on securities
12 Nov 2005 - 12 Sep 2010
No
AC6480
HANG SENG BANK, LIMITED
Type 1: dealing in securities
08 Aug 2005 - 12 Sep 2010
No
AC6480
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
08 Aug 2005 - 12 Sep 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.