Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YANG, SHUO YAN
Chinese Name of Relevant Individual
楊碩彥
HKMA Registration Number
AG7599
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
12 Aug 2022
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT MANAGER
Remarks
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
03 Jan 2023
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
SFC CE number
AGV591
Business Address
23/F, ONE CAUSEWAY BAY, 281 GLOUCESTER ROAD, CAUSEWAY BAY, 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
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 03 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 12 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Sep 2021 - 10 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Sep 2021 - 10 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jul 2017 - 02 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 May 2015 - 26 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
19 May 2015 - 26 Jun 2015
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
YANG, SHUO YAN
:
Chinese Name of Relevant Individual
楊碩彥
:
HKMA Registration Number
AG7599
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CATHAY UNITED BANK COMPANY, LIMITED
Type 1: dealing in securities
12 Aug 2022
No
ASSISTANT MANAGER
CATHAY UNITED BANK COMPANY, LIMITED
Type 4: advising on securities
03 Jan 2023
No
ASSISTANT MANAGER
Name of Registered Institution
SFC CE number
Business Address
CATHAY UNITED BANK COMPANY, LIMITED
AGV591
23/F, ONE CAUSEWAY BAY, 281 GLOUCESTER ROAD, CAUSEWAY BAY, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7599
CATHAY UNITED BANK COMPANY, LIMITED
Type 4: advising on securities
Since 03 Jan 2023
No
AG7599
CATHAY UNITED BANK COMPANY, LIMITED
Type 1: dealing in securities
Since 12 Aug 2022
No
AG7599
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Sep 2021 - 10 May 2022
No
AG7599
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Sep 2021 - 10 May 2022
No
AG7599
CATHAY UNITED BANK COMPANY, LIMITED
Type 1: dealing in securities
28 Jul 2017 - 02 Jun 2021
No
AG7599
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
19 May 2015 - 26 Jun 2015
No
AG7599
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
19 May 2015 - 26 Jun 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.