Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YU, YI
Chinese Name of Relevant Individual
于一
HKMA Registration Number
AF3492
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Sep 2017 - 10 Jun 2026
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
05 Sep 2017 - 10 Jun 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
05 Sep 2017 - 10 Jun 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
14 Sep 2012 - 31 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
04 Jul 2012 - 31 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Oct 2011 - 31 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
25 Oct 2011 - 31 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Oct 2011 - 31 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
25 Oct 2011 - 31 May 2013
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
YU, YI
:
Chinese Name of Relevant Individual
于一
:
HKMA Registration Number
AF3492
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3492
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
05 Sep 2017 - 10 Jun 2026
No
AF3492
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Sep 2017 - 10 Jun 2026
No
AF3492
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
05 Sep 2017 - 10 Jun 2026
No
AF3492
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 4: advising on securities
14 Sep 2012 - 31 May 2013
No
AF3492
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 6: advising on corporate finance
04 Jul 2012 - 31 May 2013
No
AF3492
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
25 Oct 2011 - 31 May 2013
No
AF3492
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 6: advising on corporate finance
25 Oct 2011 - 31 May 2013
No
AF3492
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
25 Oct 2011 - 31 May 2013
No
AF3492
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 4: advising on securities
25 Oct 2011 - 31 May 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.