Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YIM, CHEUK YAT
Chinese Name of Relevant Individual
嚴卓逸
HKMA Registration Number
AF6978
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
29 May 2026
Is an Executive Officer? (Yes / No)
No
Capacity
BRANCH SALES MANAGER
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
29 May 2026
Is an Executive Officer? (Yes / No)
No
Capacity
BRANCH SALES MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
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
Since 29 May 2026
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
Since 29 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Aug 2025 - 12 Apr 2026
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
31 Oct 2023 - 26 Jun 2025
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
31 Oct 2023 - 26 Jun 2025
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
12 Jul 2017 - 02 Oct 2023
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
12 Jul 2017 - 02 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Aug 2012 - 02 Oct 2023
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
21 Aug 2012 - 12 Jun 2016
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
21 Aug 2012 - 31 Aug 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
YIM, CHEUK YAT
:
Chinese Name of Relevant Individual
嚴卓逸
:
HKMA Registration Number
AF6978
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
29 May 2026
No
BRANCH SALES MANAGER
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
29 May 2026
No
BRANCH SALES MANAGER
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6978
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 29 May 2026
No
AF6978
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 29 May 2026
No
AF6978
OCBC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Aug 2025 - 12 Apr 2026
No
AF6978
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
31 Oct 2023 - 26 Jun 2025
No
AF6978
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
31 Oct 2023 - 26 Jun 2025
No
AF6978
HANG SENG BANK, LIMITED
Type 4: advising on securities
12 Jul 2017 - 02 Oct 2023
No
AF6978
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
12 Jul 2017 - 02 Oct 2023
No
AF6978
HANG SENG BANK, LIMITED
Type 1: dealing in securities
21 Aug 2012 - 02 Oct 2023
No
AF6978
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
21 Aug 2012 - 12 Jun 2016
No
AF6978
HANG SENG BANK, LIMITED
Type 4: advising on securities
21 Aug 2012 - 31 Aug 2014
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.