Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, YU
Chinese Name of Relevant Individual
劉煜
HKMA Registration Number
AG4325
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
20 Oct 2020
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF FIXED INCOME DEPARTMENT
Remarks
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
20 Oct 2020
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF FIXED INCOME DEPARTMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CMB WING LUNG BANK LIMITED
SFC CE number
AAF294
Business Address
43-49 DES VOEUX 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
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 30 May 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 20 Sep 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Oct 2020 - 29 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Oct 2020 - 19 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Aug 2014 - 11 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 4: advising on securities
Effective Period
06 Aug 2014 - 11 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 6: advising on corporate finance
Effective Period
06 Aug 2014 - 11 May 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
LIU, YU
:
Chinese Name of Relevant Individual
劉煜
:
HKMA Registration Number
AG4325
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
20 Oct 2020
Yes
HEAD OF FIXED INCOME DEPARTMENT
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
20 Oct 2020
Yes
HEAD OF FIXED INCOME DEPARTMENT
Name of Registered Institution
SFC CE number
Business Address
CMB WING LUNG BANK LIMITED
AAF294
43-49 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4325
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
Since 30 May 2023
Yes
AG4325
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
Since 20 Sep 2021
Yes
AG4325
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
20 Oct 2020 - 29 May 2023
No
AG4325
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
20 Oct 2020 - 19 Sep 2021
No
AG4325
SOCIETE GENERALE
Type 1: dealing in securities
06 Aug 2014 - 11 May 2018
No
AG4325
SOCIETE GENERALE
Type 4: advising on securities
06 Aug 2014 - 11 May 2018
No
AG4325
SOCIETE GENERALE
Type 6: advising on corporate finance
06 Aug 2014 - 11 May 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.