Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAU, K JOE
Chinese Name of Relevant Individual
丘佳祖
HKMA Registration Number
AF7460
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
11 Oct 2019
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH MANAGER (RETAIL BANKING)
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Oct 2019
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH MANAGER (RETAIL BANKING)
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD CENTRAL, 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 Oct 2019
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
Since 11 Oct 2019
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
01 Aug 2018 - 13 Apr 2019
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
01 Aug 2018 - 13 Apr 2019
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
01 Aug 2018 - 13 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Aug 2015 - 24 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Aug 2015 - 24 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Sep 2013 - 02 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Sep 2013 - 02 Jul 2015
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
14 Jun 2013 - 20 Aug 2013
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
14 Jun 2013 - 20 Aug 2013
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
25 Sep 2012 - 18 Mar 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
25 Sep 2012 - 18 Mar 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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, K JOE
:
Chinese Name of Relevant Individual
丘佳祖
:
HKMA Registration Number
AF7460
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
11 Oct 2019
No
ASSISTANT BRANCH MANAGER (RETAIL BANKING)
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
11 Oct 2019
No
ASSISTANT BRANCH MANAGER (RETAIL BANKING)
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7460
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 11 Oct 2019
No
AF7460
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 11 Oct 2019
No
AF7460
HANG SENG BANK, LIMITED
Type 1: dealing in securities
01 Aug 2018 - 13 Apr 2019
No
AF7460
HANG SENG BANK, LIMITED
Type 4: advising on securities
01 Aug 2018 - 13 Apr 2019
No
AF7460
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
01 Aug 2018 - 13 Apr 2019
No
AF7460
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
25 Aug 2015 - 24 May 2018
No
AF7460
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
25 Aug 2015 - 24 May 2018
No
AF7460
DAH SING BANK, LIMITED
Type 1: dealing in securities
27 Sep 2013 - 02 Jul 2015
No
AF7460
DAH SING BANK, LIMITED
Type 4: advising on securities
27 Sep 2013 - 02 Jul 2015
No
AF7460
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
14 Jun 2013 - 20 Aug 2013
No
AF7460
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
14 Jun 2013 - 20 Aug 2013
No
AF7460
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
25 Sep 2012 - 18 Mar 2013
No
AF7460
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
25 Sep 2012 - 18 Mar 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.