Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
SZE, HOI YAN CATHERINE
Chinese Name of Relevant Individual

施凱茵
HKMA Registration Number
AG7961
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
24 Jun 2015
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH MANAGER (SERVICE)
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
24 Jun 2015
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH MANAGER (SERVICE)
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
SZE, HOI YAN CATHERINE
:
Chinese Name of Relevant Individual
施凱茵
:
HKMA Registration Number
AG7961
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
24 Jun 2015
No
ASSISTANT BRANCH MANAGER (SERVICE)
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
24 Jun 2015
No
ASSISTANT BRANCH MANAGER (SERVICE)