Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHING, TSZ YIN
Chinese Name of Relevant Individual
程子彥
HKMA Registration Number
AF8171
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
14 Sep 2016
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR, FINANCIAL PLANNING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Sep 2016
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR, FINANCIAL PLANNING
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 14 Sep 2016
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 14 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jun 2016 - 29 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Mar 2016 - 15 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Mar 2016 - 15 May 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 Oct 2014 - 27 Jan 2016
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
26 Sep 2014 - 27 Jan 2016
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
26 Sep 2014 - 27 Jan 2016
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
13 Feb 2014 - 17 Jun 2014
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
13 Feb 2014 - 17 Jun 2014
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
16 Nov 2012 - 01 Jan 2014
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
16 Nov 2012 - 01 Jan 2014
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
16 Nov 2012 - 01 Jan 2014
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
CHING, TSZ YIN
:
Chinese Name of Relevant Individual
程子彥
:
HKMA Registration Number
AF8171
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
14 Sep 2016
No
DIRECTOR, FINANCIAL PLANNING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
14 Sep 2016
No
DIRECTOR, FINANCIAL PLANNING
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)
AF8171
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 14 Sep 2016
No
AF8171
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 14 Sep 2016
No
AF8171
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
26 Jun 2016 - 29 Jul 2016
No
AF8171
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
02 Mar 2016 - 15 May 2016
No
AF8171
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
02 Mar 2016 - 15 May 2016
No
AF8171
HANG SENG BANK, LIMITED
Type 4: advising on securities
21 Oct 2014 - 27 Jan 2016
No
AF8171
HANG SENG BANK, LIMITED
Type 1: dealing in securities
26 Sep 2014 - 27 Jan 2016
No
AF8171
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
26 Sep 2014 - 27 Jan 2016
No
AF8171
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
13 Feb 2014 - 17 Jun 2014
No
AF8171
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
13 Feb 2014 - 17 Jun 2014
No
AF8171
HANG SENG BANK, LIMITED
Type 1: dealing in securities
16 Nov 2012 - 01 Jan 2014
No
AF8171
HANG SENG BANK, LIMITED
Type 4: advising on securities
16 Nov 2012 - 01 Jan 2014
No
AF8171
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
16 Nov 2012 - 01 Jan 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.