Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, SZE YAN
Chinese Name of Relevant Individual
歐詩茵
HKMA Registration Number
AF3182
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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Dec 2013 - 31 Dec 2013
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
06 Dec 2013 - 31 Dec 2013
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
06 Dec 2013 - 31 Dec 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
25 May 2013 - 25 Jul 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
25 May 2013 - 25 Jul 2013
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
01 Oct 2011 - 01 Apr 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
01 Oct 2011 - 01 Apr 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, SZE YAN
:
Chinese Name of Relevant Individual
歐詩茵
:
HKMA Registration Number
AF3182
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3182
HANG SENG BANK, LIMITED
Type 1: dealing in securities
06 Dec 2013 - 31 Dec 2013
No
AF3182
HANG SENG BANK, LIMITED
Type 4: advising on securities
06 Dec 2013 - 31 Dec 2013
No
AF3182
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
06 Dec 2013 - 31 Dec 2013
No
AF3182
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
25 May 2013 - 25 Jul 2013
No
AF3182
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
25 May 2013 - 25 Jul 2013
No
AF3182
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Oct 2011 - 01 Apr 2013
No
AF3182
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Oct 2011 - 01 Apr 2013
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.