Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YIP, KA HO
Chinese Name of Relevant Individual
葉家豪
HKMA Registration Number
AF0685
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 May 2021
Is an Executive Officer? (Yes / No)
No
Capacity
PREMIER RELATIONSHIP MANAGER
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
28 May 2021
Is an Executive Officer? (Yes / No)
No
Capacity
PREMIER RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD CENTRAL, 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 28 May 2021
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
Since 28 May 2021
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
20 Jul 2019 - 06 Apr 2021
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
20 Jul 2019 - 06 Apr 2021
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
24 Nov 2016 - 28 Jun 2019
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
24 Nov 2016 - 28 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Sep 2014 - 26 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Sep 2014 - 26 Jul 2016
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
08 May 2014 - 31 Jul 2014
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
08 May 2014 - 31 Jul 2014
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
15 Apr 2013 - 21 Apr 2014
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
15 Apr 2013 - 21 Apr 2014
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
15 Apr 2013 - 21 Apr 2014
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
05 Jan 2012 - 25 Feb 2013
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
05 Jan 2012 - 25 Feb 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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
YIP, KA HO
:
Chinese Name of Relevant Individual
葉家豪
:
HKMA Registration Number
AF0685
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
28 May 2021
No
PREMIER RELATIONSHIP MANAGER
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
28 May 2021
No
PREMIER RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0685
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 28 May 2021
No
AF0685
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 28 May 2021
No
AF0685
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Jul 2019 - 06 Apr 2021
No
AF0685
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Jul 2019 - 06 Apr 2021
No
AF0685
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
24 Nov 2016 - 28 Jun 2019
No
AF0685
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
24 Nov 2016 - 28 Jun 2019
No
AF0685
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
25 Sep 2014 - 26 Jul 2016
No
AF0685
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
25 Sep 2014 - 26 Jul 2016
No
AF0685
DAH SING BANK, LIMITED
Type 1: dealing in securities
08 May 2014 - 31 Jul 2014
No
AF0685
DAH SING BANK, LIMITED
Type 4: advising on securities
08 May 2014 - 31 Jul 2014
No
AF0685
HANG SENG BANK, LIMITED
Type 1: dealing in securities
15 Apr 2013 - 21 Apr 2014
No
AF0685
HANG SENG BANK, LIMITED
Type 4: advising on securities
15 Apr 2013 - 21 Apr 2014
No
AF0685
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
15 Apr 2013 - 21 Apr 2014
No
AF0685
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Jan 2012 - 25 Feb 2013
No
AF0685
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Jan 2012 - 25 Feb 2013
No
AF0685
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2011 - 04 Dec 2011
No
AF0685
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2011 - 04 Dec 2011
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.