Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HSIEH, YAU LING
Chinese Name of Relevant Individual
謝幼玲
HKMA Registration Number
AC9677
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
04 Jan 2019 - 12 Feb 2023
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
04 Jan 2019 - 12 Feb 2023
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
11 Oct 2013 - 02 Sep 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
11 Oct 2013 - 02 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Nov 2010 - 07 Apr 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Nov 2010 - 07 Apr 2011
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
02 May 2008 - 12 Sep 2010
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
02 May 2008 - 12 Sep 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jun 2006 - 24 Mar 2008
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
10 Jun 2006 - 24 Mar 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
HSIEH, YAU LING
:
Chinese Name of Relevant Individual
謝幼玲
:
HKMA Registration Number
AC9677
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9677
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
04 Jan 2019 - 12 Feb 2023
No
AC9677
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
04 Jan 2019 - 12 Feb 2023
No
AC9677
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
11 Oct 2013 - 02 Sep 2017
No
AC9677
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
11 Oct 2013 - 02 Sep 2017
No
AC9677
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
05 Nov 2010 - 07 Apr 2011
No
AC9677
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
05 Nov 2010 - 07 Apr 2011
No
AC9677
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
02 May 2008 - 12 Sep 2010
No
AC9677
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
02 May 2008 - 12 Sep 2010
No
AC9677
CHONG HING BANK LIMITED
Type 1: dealing in securities
10 Jun 2006 - 24 Mar 2008
No
AC9677
CHONG HING BANK LIMITED
Type 4: advising on securities
10 Jun 2006 - 24 Mar 2008
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.