Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YU, KWOK CHUN
Chinese Name of Relevant Individual
余國進
HKMA Registration Number
AG2709
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
29 Apr 2018
Is an Executive Officer? (Yes / No)
No
Capacity
HSBC PREMIER ELITE DIRECTOR
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
29 Apr 2018
Is an Executive Officer? (Yes / No)
No
Capacity
HSBC PREMIER ELITE DIRECTOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 29 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 29 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Oct 2017 - 01 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Oct 2015 - 10 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
15 Oct 2015 - 10 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Dec 2014 - 31 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Dec 2014 - 31 Aug 2015
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
03 Mar 2014 - 16 Oct 2014
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
03 Mar 2014 - 16 Oct 2014
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
03 Mar 2014 - 16 Oct 2014
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
YU, KWOK CHUN
:
Chinese Name of Relevant Individual
余國進
:
HKMA Registration Number
AG2709
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
29 Apr 2018
No
HSBC PREMIER ELITE DIRECTOR
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
29 Apr 2018
No
HSBC PREMIER ELITE DIRECTOR
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG2709
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 29 Apr 2018
No
AG2709
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 29 Apr 2018
No
AG2709
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
11 Oct 2017 - 01 Jan 2018
No
AG2709
WING LUNG BANK LIMITED
Type 1: dealing in securities
15 Oct 2015 - 10 Aug 2017
No
AG2709
WING LUNG BANK LIMITED
Type 4: advising on securities
15 Oct 2015 - 10 Aug 2017
No
AG2709
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Dec 2014 - 31 Aug 2015
No
AG2709
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Dec 2014 - 31 Aug 2015
No
AG2709
HANG SENG BANK, LIMITED
Type 1: dealing in securities
03 Mar 2014 - 16 Oct 2014
No
AG2709
HANG SENG BANK, LIMITED
Type 4: advising on securities
03 Mar 2014 - 16 Oct 2014
No
AG2709
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
03 Mar 2014 - 16 Oct 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.