Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAU, HUNG SUM
Chinese Name of Relevant Individual
丘洪森
HKMA Registration Number
AG2567
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
OCBC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
12 Nov 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT SERVICES, CONSUMER FINANCIAL SERVICES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
OCBC BANK (HONG KONG) LIMITED
SFC CE number
AAC083
Business Address
OCBC CENTRE, 161 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
OCBC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 12 Nov 2025
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
01 Aug 2019 - 24 Aug 2025
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
01 Aug 2019 - 24 Aug 2025
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
16 Jan 2018 - 28 Jun 2019
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
16 Jan 2018 - 28 Jun 2019
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 Feb 2014 - 01 Jan 2018
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 Feb 2014 - 01 Jan 2018
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 Feb 2014 - 01 Jan 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
YAU, HUNG SUM
:
Chinese Name of Relevant Individual
丘洪森
:
HKMA Registration Number
AG2567
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
OCBC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
12 Nov 2025
No
INVESTMENT SERVICES, CONSUMER FINANCIAL SERVICES
Name of Registered Institution
SFC CE number
Business Address
OCBC BANK (HONG KONG) LIMITED
AAC083
OCBC CENTRE, 161 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG2567
OCBC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 12 Nov 2025
No
AG2567
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
01 Aug 2019 - 24 Aug 2025
No
AG2567
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
01 Aug 2019 - 24 Aug 2025
No
AG2567
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Jan 2018 - 28 Jun 2019
No
AG2567
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Jan 2018 - 28 Jun 2019
No
AG2567
HANG SENG BANK, LIMITED
Type 1: dealing in securities
18 Feb 2014 - 01 Jan 2018
No
AG2567
HANG SENG BANK, LIMITED
Type 4: advising on securities
18 Feb 2014 - 01 Jan 2018
No
AG2567
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
18 Feb 2014 - 01 Jan 2018
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.