Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HUI, WING YAN
Chinese Name of Relevant Individual
許穎欣
HKMA Registration Number
AH0149
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
29 Sep 2021
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
07 Dec 2022
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 07 Dec 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
Since 29 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK SINOPAC
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Sep 2020 - 15 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK SINOPAC
Regulated Activity
Type 4: advising on securities
Effective Period
17 Sep 2020 - 15 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jan 2016 - 19 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jan 2016 - 19 Aug 2019
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
HUI, WING YAN
:
Chinese Name of Relevant Individual
許穎欣
:
HKMA Registration Number
AH0149
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
29 Sep 2021
No
ASSISTANT MANAGER
CATHAY UNITED BANK COMPANY, LIMITED
Type 4: advising on securities
07 Dec 2022
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)
AH0149
CATHAY UNITED BANK COMPANY, LIMITED
Type 4: advising on securities
Since 07 Dec 2022
No
AH0149
CATHAY UNITED BANK COMPANY, LIMITED
Type 1: dealing in securities
Since 29 Sep 2021
No
AH0149
BANK SINOPAC
Type 1: dealing in securities
17 Sep 2020 - 15 Sep 2021
No
AH0149
BANK SINOPAC
Type 4: advising on securities
17 Sep 2020 - 15 Sep 2021
No
AH0149
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Jan 2016 - 19 Aug 2019
No
AH0149
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Jan 2016 - 19 Aug 2019
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.