Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSAO, YU NING
Chinese Name of Relevant Individual
曹宇寧
HKMA Registration Number
AG2937
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
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Dec 2015 - 20 Dec 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Dec 2015 - 20 Dec 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Mar 2014 - 04 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
24 Mar 2014 - 04 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Mar 2014 - 04 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
24 Mar 2014 - 04 Nov 2015
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
TSAO, YU NING
:
Chinese Name of Relevant Individual
曹宇寧
:
HKMA Registration Number
AG2937
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG2937
CREDIT SUISSE AG
Type 1: dealing in securities
09 Dec 2015 - 20 Dec 2015
No
AG2937
CREDIT SUISSE AG
Type 4: advising on securities
09 Dec 2015 - 20 Dec 2015
No
AG2937
CITIBANK, N.A.
Type 1: dealing in securities
24 Mar 2014 - 04 Nov 2015
No
AG2937
CITIBANK, N.A.
Type 4: advising on securities
24 Mar 2014 - 04 Nov 2015
No
AG2937
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
24 Mar 2014 - 04 Nov 2015
No
AG2937
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
24 Mar 2014 - 04 Nov 2015
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.