Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAU, YUK LING
Chinese Name of Relevant Individual
邱玉玲
HKMA Registration Number
AF5779
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
05 Nov 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT RELATIONSHIP OFFICER
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
05 Nov 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT RELATIONSHIP OFFICER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
EFG BANK AG
SFC CE number
AFV863
Business Address
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
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
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 05 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 05 Nov 2024
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
28 Dec 2018 - 23 Aug 2024
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
28 Dec 2018 - 23 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Sep 2015 - 23 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
08 Sep 2015 - 23 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
08 Sep 2015 - 23 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
08 Sep 2015 - 23 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2012 - 17 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2012 - 17 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
01 May 2012 - 17 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
01 May 2012 - 17 Jul 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
YAU, YUK LING
:
Chinese Name of Relevant Individual
邱玉玲
:
HKMA Registration Number
AF5779
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
EFG BANK AG
Type 1: dealing in securities
05 Nov 2024
No
CLIENT RELATIONSHIP OFFICER
EFG BANK AG
Type 4: advising on securities
05 Nov 2024
No
CLIENT RELATIONSHIP OFFICER
Name of Registered Institution
SFC CE number
Business Address
EFG BANK AG
AFV863
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF5779
EFG BANK AG
Type 1: dealing in securities
Since 05 Nov 2024
No
AF5779
EFG BANK AG
Type 4: advising on securities
Since 05 Nov 2024
No
AF5779
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
28 Dec 2018 - 23 Aug 2024
No
AF5779
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
28 Dec 2018 - 23 Aug 2024
No
AF5779
LGT BANK AG
Type 1: dealing in securities
08 Sep 2015 - 23 Nov 2018
No
AF5779
LGT BANK AG
Type 2: dealing in futures contracts
08 Sep 2015 - 23 Nov 2018
No
AF5779
LGT BANK AG
Type 4: advising on securities
08 Sep 2015 - 23 Nov 2018
No
AF5779
LGT BANK AG
Type 5: advising on futures contracts
08 Sep 2015 - 23 Nov 2018
No
AF5779
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
01 May 2012 - 17 Jul 2015
No
AF5779
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
01 May 2012 - 17 Jul 2015
No
AF5779
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
01 May 2012 - 17 Jul 2015
No
AF5779
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
01 May 2012 - 17 Jul 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.