Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YIM, WAI YAN
Chinese Name of Relevant Individual
嚴慧茵
HKMA Registration Number
AC9614
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
CHONG HING BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Nov 2021 - 30 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Nov 2021 - 30 Nov 2023
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
19 Jun 2017 - 28 Sep 2021
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
19 Jun 2017 - 28 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jun 2006 - 19 Aug 2016
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
06 Jun 2006 - 19 Aug 2016
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
YIM, WAI YAN
:
Chinese Name of Relevant Individual
嚴慧茵
:
HKMA Registration Number
AC9614
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9614
CHONG HING BANK LIMITED
Type 1: dealing in securities
05 Nov 2021 - 30 Nov 2023
No
AC9614
CHONG HING BANK LIMITED
Type 4: advising on securities
05 Nov 2021 - 30 Nov 2023
No
AC9614
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
19 Jun 2017 - 28 Sep 2021
No
AC9614
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
19 Jun 2017 - 28 Sep 2021
No
AC9614
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
06 Jun 2006 - 19 Aug 2016
No
AC9614
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
06 Jun 2006 - 19 Aug 2016
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.