Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YU, SZE WAI
Chinese Name of Relevant Individual
余思慧
HKMA Registration Number
AG9505
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
31 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER, WM
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
31 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER, WM
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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 CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 31 Aug 2024
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
Since 31 Aug 2024
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
21 Nov 2017 - 01 Jul 2024
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
21 Nov 2017 - 01 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC WING HANG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Sep 2017 - 22 Oct 2017
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
27 Oct 2015 - 13 Aug 2017
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
27 Oct 2015 - 13 Aug 2017
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
YU, SZE WAI
:
Chinese Name of Relevant Individual
余思慧
:
HKMA Registration Number
AG9505
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
31 Aug 2024
No
RELATIONSHIP MANAGER, WM
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
31 Aug 2024
No
RELATIONSHIP MANAGER, WM
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9505
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 31 Aug 2024
No
AG9505
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 31 Aug 2024
No
AG9505
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
21 Nov 2017 - 01 Jul 2024
No
AG9505
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
21 Nov 2017 - 01 Jul 2024
No
AG9505
OCBC WING HANG BANK LIMITED
Type 1: dealing in securities
22 Sep 2017 - 22 Oct 2017
No
AG9505
CHONG HING BANK LIMITED
Type 1: dealing in securities
27 Oct 2015 - 13 Aug 2017
No
AG9505
CHONG HING BANK LIMITED
Type 4: advising on securities
27 Oct 2015 - 13 Aug 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.