Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAI, SUM YI
Chinese Name of Relevant Individual
黎心怡
HKMA Registration Number
AG7160
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
03 Dec 2022
Is an Executive Officer? (Yes / No)
No
Capacity
RETAIL FINANCING MANAGER
Remarks
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
03 Dec 2022
Is an Executive Officer? (Yes / No)
No
Capacity
RETAIL FINANCING MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHIYU BANKING CORPORATION LIMITED
SFC CE number
AAL594
Business Address
74-78 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
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 03 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 03 Dec 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
25 Aug 2016 - 30 Oct 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
25 Aug 2016 - 30 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Apr 2015 - 23 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
02 Apr 2015 - 23 Jul 2016
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
LAI, SUM YI
:
Chinese Name of Relevant Individual
黎心怡
:
HKMA Registration Number
AG7160
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
03 Dec 2022
No
RETAIL FINANCING MANAGER
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
03 Dec 2022
No
RETAIL FINANCING MANAGER
Name of Registered Institution
SFC CE number
Business Address
CHIYU BANKING CORPORATION LIMITED
AAL594
74-78 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7160
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
Since 03 Dec 2022
No
AG7160
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
Since 03 Dec 2022
No
AG7160
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
25 Aug 2016 - 30 Oct 2022
No
AG7160
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
25 Aug 2016 - 30 Oct 2022
No
AG7160
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
02 Apr 2015 - 23 Jul 2016
No
AG7160
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
02 Apr 2015 - 23 Jul 2016
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.