Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU YEUNG, YEN TUNG
Chinese Name of Relevant Individual
歐陽恩彤
HKMA Registration Number
AG6150
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
16 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICES OFFICER
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
16 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICES OFFICER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
SFC CE number
BJN782
Business Address
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, 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
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 16 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 16 Aug 2024
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
05 Jan 2024 - 02 Jun 2024
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
05 Jan 2024 - 02 Jun 2024
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
05 Jan 2024 - 02 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Apr 2022 - 18 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Apr 2022 - 18 Nov 2023
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
17 Aug 2019 - 19 Jan 2022
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
17 Aug 2019 - 19 Jan 2022
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
16 Jan 2015 - 05 Mar 2017
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
16 Jan 2015 - 05 Mar 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
AU YEUNG, YEN TUNG
:
Chinese Name of Relevant Individual
歐陽恩彤
:
HKMA Registration Number
AG6150
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
16 Aug 2024
No
CUSTOMER SERVICES OFFICER
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
16 Aug 2024
No
CUSTOMER SERVICES OFFICER
Name of Registered Institution
SFC CE number
Business Address
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
BJN782
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6150
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
Since 16 Aug 2024
No
AG6150
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
Since 16 Aug 2024
No
AG6150
HANG SENG BANK, LIMITED
Type 1: dealing in securities
05 Jan 2024 - 02 Jun 2024
No
AG6150
HANG SENG BANK, LIMITED
Type 4: advising on securities
05 Jan 2024 - 02 Jun 2024
No
AG6150
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
05 Jan 2024 - 02 Jun 2024
No
AG6150
CHONG HING BANK LIMITED
Type 1: dealing in securities
14 Apr 2022 - 18 Nov 2023
No
AG6150
CHONG HING BANK LIMITED
Type 4: advising on securities
14 Apr 2022 - 18 Nov 2023
No
AG6150
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
17 Aug 2019 - 19 Jan 2022
No
AG6150
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
17 Aug 2019 - 19 Jan 2022
No
AG6150
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
16 Jan 2015 - 05 Mar 2017
No
AG6150
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
16 Jan 2015 - 05 Mar 2017
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.