Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, WAI YI
Chinese Name of Relevant Individual
蘇惠儀
HKMA Registration Number
AC8132
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
14 Sep 2021
Is an Executive Officer? (Yes / No)
No
Capacity
BRANCH MANAGER
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Sep 2021
Is an Executive Officer? (Yes / No)
No
Capacity
BRANCH MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 14 Sep 2021
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
Since 14 Sep 2021
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
15 Oct 2011 - 01 Aug 2021
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
15 Oct 2011 - 01 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jan 2006 - 21 Aug 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jan 2006 - 21 Aug 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, WAI YI
:
Chinese Name of Relevant Individual
蘇惠儀
:
HKMA Registration Number
AC8132
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
14 Sep 2021
No
BRANCH MANAGER
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
14 Sep 2021
No
BRANCH MANAGER
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC8132
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 14 Sep 2021
No
AC8132
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 14 Sep 2021
No
AC8132
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
15 Oct 2011 - 01 Aug 2021
No
AC8132
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
15 Oct 2011 - 01 Aug 2021
No
AC8132
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
11 Jan 2006 - 21 Aug 2011
No
AC8132
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
11 Jan 2006 - 21 Aug 2011
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.