Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TIAN, YU WILLIAM
Chinese Name of Relevant Individual
HKMA Registration Number
AF8408
Other HKMA Registration Number(s)
AD7330
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
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jan 2017 - 01 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
12 Jan 2017 - 01 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
Effective Period
12 Jan 2017 - 01 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ICBC STANDARD BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Mar 2016 - 21 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ICBC STANDARD BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
01 Mar 2016 - 21 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Apr 2015 - 07 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
10 Apr 2015 - 07 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Dec 2012 - 07 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
11 Dec 2012 - 07 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jan 2008 - 19 Apr 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jan 2008 - 19 Apr 2009
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
TIAN, YU WILLIAM
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF8408
:
Other HKMA Registration Number(s)
AD7330
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AD7330
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
12 Jan 2017 - 01 Apr 2024
No
AD7330
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
12 Jan 2017 - 01 Apr 2024
No
AD7330
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
12 Jan 2017 - 01 Apr 2024
No
AD7330
ICBC STANDARD BANK PLC
Type 1: dealing in securities
01 Mar 2016 - 21 Nov 2016
No
AD7330
ICBC STANDARD BANK PLC
Type 4: advising on securities
01 Mar 2016 - 21 Nov 2016
No
AD7330
COMMERZBANK AG
Type 1: dealing in securities
10 Apr 2015 - 07 Jan 2016
No
AD7330
COMMERZBANK AG
Type 4: advising on securities
10 Apr 2015 - 07 Jan 2016
No
AF8408
COMMERZBANK AG
Type 1: dealing in securities
11 Dec 2012 - 07 Apr 2015
No
AF8408
COMMERZBANK AG
Type 4: advising on securities
11 Dec 2012 - 07 Apr 2015
No
AD7330
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
18 Jan 2008 - 19 Apr 2009
No
AD7330
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
18 Jan 2008 - 19 Apr 2009
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.