Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CAO, MINHUA
Chinese Name of Relevant Individual
曹珉樺
HKMA Registration Number
AG1574
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
11 Jun 2026
Is an Executive Officer? (Yes / No)
No
Capacity
TEAM HEAD & SENIOR VICE PRESIDENT
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Jun 2026
Is an Executive Officer? (Yes / No)
No
Capacity
TEAM HEAD & SENIOR VICE PRESIDENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
SFC CE number
AAJ165
Business Address
BANK OF EAST ASIA BUILDING, 10 DES VOEUX 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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 Jun 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 11 Jun 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Oct 2021 - 02 Jan 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Oct 2021 - 02 Jan 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Jul 2019 - 20 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
25 Jul 2019 - 20 Jun 2021
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
07 Nov 2013 - 29 May 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
07 Nov 2013 - 29 May 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
07 Nov 2013 - 31 May 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
CAO, MINHUA
:
Chinese Name of Relevant Individual
曹珉樺
:
HKMA Registration Number
AG1574
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
11 Jun 2026
No
TEAM HEAD & SENIOR VICE PRESIDENT
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
11 Jun 2026
No
TEAM HEAD & SENIOR VICE PRESIDENT
Name of Registered Institution
SFC CE number
Business Address
BANK OF EAST ASIA, LIMITED (THE)
AAJ165
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1574
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
Since 11 Jun 2026
No
AG1574
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
Since 11 Jun 2026
No
AG1574
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
21 Oct 2021 - 02 Jan 2026
No
AG1574
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
21 Oct 2021 - 02 Jan 2026
No
AG1574
CHINA EVERBRIGHT BANK CO., LTD.
Type 1: dealing in securities
25 Jul 2019 - 20 Jun 2021
No
AG1574
CHINA EVERBRIGHT BANK CO., LTD.
Type 4: advising on securities
25 Jul 2019 - 20 Jun 2021
No
AG1574
HANG SENG BANK, LIMITED
Type 1: dealing in securities
07 Nov 2013 - 29 May 2019
No
AG1574
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
07 Nov 2013 - 29 May 2019
No
AG1574
HANG SENG BANK, LIMITED
Type 4: advising on securities
07 Nov 2013 - 31 May 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.