Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHEN, YIN
Chinese Name of Relevant Individual
陳茵
HKMA Registration Number
AG7992
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
24 Sep 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT RELATIONSHIP OFFICER
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
24 Sep 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT RELATIONSHIP OFFICER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
EFG BANK AG
SFC CE number
AFV863
Business Address
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
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
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 24 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 24 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jun 2022 - 12 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jun 2022 - 12 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jun 2022 - 12 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jun 2022 - 12 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Mar 2018 - 03 Jun 2022
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
28 Mar 2018 - 03 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jun 2015 - 28 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
26 Jun 2015 - 28 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jan 2018
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
22 Jan 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
CHEN, YIN
:
Chinese Name of Relevant Individual
陳茵
:
HKMA Registration Number
AG7992
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
EFG BANK AG
Type 1: dealing in securities
24 Sep 2024
No
CLIENT RELATIONSHIP OFFICER
EFG BANK AG
Type 4: advising on securities
24 Sep 2024
No
CLIENT RELATIONSHIP OFFICER
Name of Registered Institution
SFC CE number
Business Address
EFG BANK AG
AFV863
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7992
EFG BANK AG
Type 1: dealing in securities
Since 24 Sep 2024
No
AG7992
EFG BANK AG
Type 4: advising on securities
Since 24 Sep 2024
No
AG7992
CITIBANK, N.A.
Type 1: dealing in securities
10 Jun 2022 - 12 Aug 2024
No
AG7992
CITIBANK, N.A.
Type 4: advising on securities
10 Jun 2022 - 12 Aug 2024
No
AG7992
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
10 Jun 2022 - 12 Aug 2024
No
AG7992
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
10 Jun 2022 - 12 Aug 2024
No
AG7992
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
28 Mar 2018 - 03 Jun 2022
No
AG7992
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
28 Mar 2018 - 03 Jun 2022
No
AG7992
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
26 Jun 2015 - 28 Jan 2018
No
AG7992
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
26 Jun 2015 - 28 Jan 2018
No
AG7992
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jan 2018
No
AG7992
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
22 Jan 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.