Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
DAI, HO YIN
Chinese Name of Relevant Individual
戴浩賢
HKMA Registration Number
AF0400
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
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Oct 2021 - 18 Mar 2022
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
29 Oct 2021 - 18 Mar 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Feb 2019 - 28 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Feb 2019 - 28 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jul 2018 - 10 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jul 2018 - 10 Feb 2019
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
10 Jan 2017 - 20 Jun 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
10 Jan 2017 - 20 Jun 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
10 Jan 2017 - 20 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2015 - 28 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2015 - 28 Nov 2016
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
14 Dec 2013 - 11 Aug 2015
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
14 Dec 2013 - 11 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Nov 2012 - 27 Oct 2013
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
16 Mar 2011 - 29 Oct 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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
DAI, HO YIN
:
Chinese Name of Relevant Individual
戴浩賢
:
HKMA Registration Number
AF0400
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0400
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
29 Oct 2021 - 18 Mar 2022
No
AF0400
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
29 Oct 2021 - 18 Mar 2022
No
AF0400
DAH SING BANK, LIMITED
Type 1: dealing in securities
16 Feb 2019 - 28 Sep 2021
No
AF0400
DAH SING BANK, LIMITED
Type 4: advising on securities
16 Feb 2019 - 28 Sep 2021
No
AF0400
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
20 Jul 2018 - 10 Feb 2019
No
AF0400
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
20 Jul 2018 - 10 Feb 2019
No
AF0400
HANG SENG BANK, LIMITED
Type 1: dealing in securities
10 Jan 2017 - 20 Jun 2018
No
AF0400
HANG SENG BANK, LIMITED
Type 4: advising on securities
10 Jan 2017 - 20 Jun 2018
No
AF0400
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
10 Jan 2017 - 20 Jun 2018
No
AF0400
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Sep 2015 - 28 Nov 2016
No
AF0400
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Sep 2015 - 28 Nov 2016
No
AF0400
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
14 Dec 2013 - 11 Aug 2015
No
AF0400
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
14 Dec 2013 - 11 Aug 2015
No
AF0400
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
13 Nov 2012 - 27 Oct 2013
No
AF0400
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
16 Mar 2011 - 29 Oct 2012
No
AF0400
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
16 Mar 2011 - 29 Oct 2012
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.