Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSE, HONG YIU
Chinese Name of Relevant Individual
謝康耀
HKMA Registration Number
AH0438
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
05 Nov 2022
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICES OFFICER
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
05 Nov 2022
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICES OFFICER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
SFC CE number
BJN782
Business Address
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, 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 COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 05 Nov 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
Since 05 Nov 2022
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
11 May 2019 - 14 Sep 2022
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
11 May 2019 - 14 Sep 2022
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
24 Jul 2018 - 19 Nov 2018
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
24 Jul 2018 - 19 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Jan 2016 - 04 Oct 2017
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
23 Jan 2016 - 04 Oct 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
TSE, HONG YIU
:
Chinese Name of Relevant Individual
謝康耀
:
HKMA Registration Number
AH0438
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
05 Nov 2022
No
CUSTOMER SERVICES OFFICER
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
05 Nov 2022
No
CUSTOMER SERVICES OFFICER
Name of Registered Institution
SFC CE number
Business Address
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
BJN782
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH0438
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
Since 05 Nov 2022
No
AH0438
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
Since 05 Nov 2022
No
AH0438
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
11 May 2019 - 14 Sep 2022
No
AH0438
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
11 May 2019 - 14 Sep 2022
No
AH0438
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
24 Jul 2018 - 19 Nov 2018
No
AH0438
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
24 Jul 2018 - 19 Nov 2018
No
AH0438
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
23 Jan 2016 - 04 Oct 2017
No
AH0438
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
23 Jan 2016 - 04 Oct 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.