Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSE, PIK YAN
Chinese Name of Relevant Individual
謝碧欣
HKMA Registration Number
AF3304
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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Aug 2019 - 15 Dec 2019
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
15 Aug 2019 - 15 Dec 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jun 2015 - 01 Jan 2019
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
03 Jun 2015 - 01 Jan 2019
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
14 Mar 2015 - 03 May 2015
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
14 Mar 2015 - 03 May 2015
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
12 Oct 2011 - 31 Jan 2015
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
12 Oct 2011 - 31 Jan 2015
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
TSE, PIK YAN
:
Chinese Name of Relevant Individual
謝碧欣
:
HKMA Registration Number
AF3304
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3304
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
15 Aug 2019 - 15 Dec 2019
No
AF3304
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
15 Aug 2019 - 15 Dec 2019
No
AF3304
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
03 Jun 2015 - 01 Jan 2019
No
AF3304
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
03 Jun 2015 - 01 Jan 2019
No
AF3304
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
14 Mar 2015 - 03 May 2015
No
AF3304
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
14 Mar 2015 - 03 May 2015
No
AF3304
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
12 Oct 2011 - 31 Jan 2015
No
AF3304
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
12 Oct 2011 - 31 Jan 2015
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.