Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YU, SO HAN
Chinese Name of Relevant Individual
余素嫺
HKMA Registration Number
AF0419
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
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jul 2021 - 15 May 2022
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
19 Jul 2021 - 15 May 2022
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
06 Jan 2020 - 23 Jun 2021
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
06 Jan 2020 - 23 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Oct 2018 - 12 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Oct 2018 - 12 Oct 2019
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
21 Jun 2016 - 16 Sep 2018
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
21 Jun 2016 - 16 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Mar 2011 - 13 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 Mar 2011 - 13 Jun 2016
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
YU, SO HAN
:
Chinese Name of Relevant Individual
余素嫺
:
HKMA Registration Number
AF0419
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0419
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
19 Jul 2021 - 15 May 2022
No
AF0419
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
19 Jul 2021 - 15 May 2022
No
AF0419
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
06 Jan 2020 - 23 Jun 2021
No
AF0419
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
06 Jan 2020 - 23 Jun 2021
No
AF0419
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
27 Oct 2018 - 12 Oct 2019
No
AF0419
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
27 Oct 2018 - 12 Oct 2019
No
AF0419
DAH SING BANK, LIMITED
Type 1: dealing in securities
21 Jun 2016 - 16 Sep 2018
No
AF0419
DAH SING BANK, LIMITED
Type 4: advising on securities
21 Jun 2016 - 16 Sep 2018
No
AF0419
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Mar 2011 - 13 Jun 2016
No
AF0419
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
17 Mar 2011 - 13 Jun 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.