Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HO, YU YAU
Chinese Name of Relevant Individual
何羽祐
HKMA Registration Number
AF2955
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
10 Jun 2021
Is an Executive Officer? (Yes / No)
No
Capacity
SALES MANAGEMENT
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
10 Jun 2021
Is an Executive Officer? (Yes / No)
No
Capacity
SALES MANAGEMENT
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
First date of engagement
10 Jun 2021
Is an Executive Officer? (Yes / No)
No
Capacity
SALES MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HANG SENG BANK, LIMITED
SFC CE number
AAH297
Business Address
HANG SENG BANK BLDG., 83 DES VOEUX 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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 10 Jun 2021
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
Since 10 Jun 2021
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
Since 10 Jun 2021
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
19 May 2017 - 13 May 2021
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
19 May 2017 - 13 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 1: dealing in securities
Effective Period
04 Feb 2015 - 30 Dec 2016
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
04 Feb 2015 - 30 Dec 2016
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
17 Sep 2011 - 28 Dec 2014
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
17 Sep 2011 - 28 Dec 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
HO, YU YAU
:
Chinese Name of Relevant Individual
何羽祐
:
HKMA Registration Number
AF2955
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HANG SENG BANK, LIMITED
Type 1: dealing in securities
10 Jun 2021
No
SALES MANAGEMENT
HANG SENG BANK, LIMITED
Type 4: advising on securities
10 Jun 2021
No
SALES MANAGEMENT
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
10 Jun 2021
No
SALES MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
HANG SENG BANK, LIMITED
AAH297
HANG SENG BANK BLDG., 83 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2955
HANG SENG BANK, LIMITED
Type 1: dealing in securities
Since 10 Jun 2021
No
AF2955
HANG SENG BANK, LIMITED
Type 4: advising on securities
Since 10 Jun 2021
No
AF2955
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
Since 10 Jun 2021
No
AF2955
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
19 May 2017 - 13 May 2021
No
AF2955
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
19 May 2017 - 13 May 2021
No
AF2955
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
04 Feb 2015 - 30 Dec 2016
No
AF2955
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
04 Feb 2015 - 30 Dec 2016
No
AF2955
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Sep 2011 - 28 Dec 2014
No
AF2955
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
17 Sep 2011 - 28 Dec 2014
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.