Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YIU, PUI SHAN
Chinese Name of Relevant Individual
姚珮珊
HKMA Registration Number
AC8967
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Jun 2019
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Jun 2019
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
ROYAL BANK OF CANADA
SFC CE number
AAE727
Business Address
41ST AND 42ND FLOOR, ONE TAIKOO PLACE, TAI KOO PLACE, 979 KING'S ROAD, QUARRY BAY, 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
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 28 Jun 2019
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
Since 28 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Nov 2015 - 01 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
06 Nov 2015 - 01 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Dec 2014 - 03 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Dec 2014 - 03 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
15 Dec 2014 - 03 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
15 Dec 2014 - 03 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Sep 2013 - 05 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
02 Sep 2013 - 05 Dec 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 Apr 2006 - 24 May 2007
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 Apr 2006 - 24 May 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
YIU, PUI SHAN
:
Chinese Name of Relevant Individual
姚珮珊
:
HKMA Registration Number
AC8967
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
ROYAL BANK OF CANADA
Type 1: dealing in securities
28 Jun 2019
No
PRIVATE BANKING
ROYAL BANK OF CANADA
Type 4: advising on securities
28 Jun 2019
No
PRIVATE BANKING
Name of Registered Institution
SFC CE number
Business Address
ROYAL BANK OF CANADA
AAE727
41ST AND 42ND FLOOR, ONE TAIKOO PLACE, TAI KOO PLACE, 979 KING'S ROAD, QUARRY BAY, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC8967
ROYAL BANK OF CANADA
Type 1: dealing in securities
Since 28 Jun 2019
No
AC8967
ROYAL BANK OF CANADA
Type 4: advising on securities
Since 28 Jun 2019
No
AC8967
CREDIT SUISSE AG
Type 1: dealing in securities
06 Nov 2015 - 01 Jun 2018
No
AC8967
CREDIT SUISSE AG
Type 4: advising on securities
06 Nov 2015 - 01 Jun 2018
No
AC8967
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
15 Dec 2014 - 03 Oct 2015
No
AC8967
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
15 Dec 2014 - 03 Oct 2015
No
AC8967
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
15 Dec 2014 - 03 Oct 2015
No
AC8967
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
15 Dec 2014 - 03 Oct 2015
No
AC8967
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
02 Sep 2013 - 05 Dec 2014
No
AC8967
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
02 Sep 2013 - 05 Dec 2014
No
AC8967
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
05 Apr 2006 - 24 May 2007
No
AC8967
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Apr 2006 - 24 May 2007
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.