Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, PO YEE
Chinese Name of Relevant Individual
區寶儀
HKMA Registration Number
AF8970
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
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2023 - 01 Sep 2025
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
17 May 2023 - 01 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Oct 2021 - 05 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
08 Oct 2021 - 05 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Sep 2019 - 27 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
06 Sep 2019 - 27 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jun 2017 - 19 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jan 2016 - 19 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Feb 2013 - 30 Dec 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Feb 2013 - 30 Dec 2015
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
AU, PO YEE
:
Chinese Name of Relevant Individual
區寶儀
:
HKMA Registration Number
AF8970
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8970
EFG BANK AG
Type 1: dealing in securities
17 May 2023 - 01 Sep 2025
No
AF8970
EFG BANK AG
Type 4: advising on securities
17 May 2023 - 01 Sep 2025
No
AF8970
CREDIT SUISSE AG
Type 1: dealing in securities
08 Oct 2021 - 05 May 2023
No
AF8970
CREDIT SUISSE AG
Type 4: advising on securities
08 Oct 2021 - 05 May 2023
No
AF8970
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
06 Sep 2019 - 27 Aug 2021
No
AF8970
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
06 Sep 2019 - 27 Aug 2021
No
AF8970
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
10 Jun 2017 - 19 Jul 2019
No
AF8970
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
04 Jan 2016 - 19 Jul 2019
No
AF8970
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Feb 2013 - 30 Dec 2015
No
AF8970
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Feb 2013 - 30 Dec 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.