Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TO, PUI YAN
Chinese Name of Relevant Individual
陶佩欣
HKMA Registration Number
AG1709
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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Nov 2016 - 19 Nov 2018
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
08 Oct 2014 - 19 Sep 2016
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
08 Oct 2014 - 19 Sep 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
18 Nov 2013 - 13 Dec 2013
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
18 Nov 2013 - 13 Dec 2013
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
18 Nov 2013 - 13 Dec 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
TO, PUI YAN
:
Chinese Name of Relevant Individual
陶佩欣
:
HKMA Registration Number
AG1709
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1709
HANG SENG BANK, LIMITED
Type 1: dealing in securities
25 Nov 2016 - 19 Nov 2018
No
AG1709
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Oct 2014 - 19 Sep 2016
No
AG1709
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Oct 2014 - 19 Sep 2016
No
AG1709
HANG SENG BANK, LIMITED
Type 1: dealing in securities
18 Nov 2013 - 13 Dec 2013
No
AG1709
HANG SENG BANK, LIMITED
Type 4: advising on securities
18 Nov 2013 - 13 Dec 2013
No
AG1709
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
18 Nov 2013 - 13 Dec 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.