Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSAO, WING YIN
Chinese Name of Relevant Individual
曹穎妍
HKMA Registration Number
AF3653
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
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2016 - 02 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2016 - 02 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Aug 2016 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
02 Aug 2016 - 30 Sep 2016
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 Aug 2013 - 04 Jul 2016
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 Aug 2013 - 04 Jul 2016
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 Nov 2011 - 18 Jan 2013
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 Nov 2011 - 18 Jan 2013
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
TSAO, WING YIN
:
Chinese Name of Relevant Individual
曹穎妍
:
HKMA Registration Number
AF3653
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3653
BNP PARIBAS
Type 1: dealing in securities
30 Sep 2016 - 02 May 2024
No
AF3653
BNP PARIBAS
Type 4: advising on securities
30 Sep 2016 - 02 May 2024
No
AF3653
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
02 Aug 2016 - 30 Sep 2016
No
AF3653
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
02 Aug 2016 - 30 Sep 2016
No
AF3653
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 Aug 2013 - 04 Jul 2016
No
AF3653
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
27 Aug 2013 - 04 Jul 2016
No
AF3653
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
04 Nov 2011 - 18 Jan 2013
No
AF3653
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
04 Nov 2011 - 18 Jan 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.