Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, WING YAN
Chinese Name of Relevant Individual
蘇詠恩
HKMA Registration Number
AG2916
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
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jan 2015 - 18 Dec 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jan 2015 - 18 Dec 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Mar 2014 - 06 Oct 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Mar 2014 - 06 Oct 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
SO, WING YAN
:
Chinese Name of Relevant Individual
蘇詠恩
:
HKMA Registration Number
AG2916
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG2916
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
10 Jan 2015 - 18 Dec 2015
No
AG2916
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
10 Jan 2015 - 18 Dec 2015
No
AG2916
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
22 Mar 2014 - 06 Oct 2014
No
AG2916
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
22 Mar 2014 - 06 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.