Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU YEUNG, WING MAN
Chinese Name of Relevant Individual
歐陽頴文
HKMA Registration Number
AF0977
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
17 Sep 2020
Is an Executive Officer? (Yes / No)
No
Capacity
SR INVESTMENT CONSULTANT
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
17 Sep 2020
Is an Executive Officer? (Yes / No)
No
Capacity
SR INVESTMENT CONSULTANT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 17 Sep 2020
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
Since 17 Sep 2020
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
18 May 2019 - 14 Aug 2020
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
18 May 2019 - 14 Aug 2020
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
18 Jul 2017 - 13 Apr 2019
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
18 Jul 2017 - 13 Apr 2019
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
27 Apr 2011 - 03 Jul 2017
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
27 Apr 2011 - 03 Jul 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
AU YEUNG, WING MAN
:
Chinese Name of Relevant Individual
歐陽頴文
:
HKMA Registration Number
AF0977
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
17 Sep 2020
No
SR INVESTMENT CONSULTANT
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
17 Sep 2020
No
SR INVESTMENT CONSULTANT
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0977
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 17 Sep 2020
No
AF0977
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 17 Sep 2020
No
AF0977
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
18 May 2019 - 14 Aug 2020
No
AF0977
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
18 May 2019 - 14 Aug 2020
No
AF0977
DAH SING BANK, LIMITED
Type 1: dealing in securities
18 Jul 2017 - 13 Apr 2019
No
AF0977
DAH SING BANK, LIMITED
Type 4: advising on securities
18 Jul 2017 - 13 Apr 2019
No
AF0977
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 Apr 2011 - 03 Jul 2017
No
AF0977
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
27 Apr 2011 - 03 Jul 2017
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.