Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
THOM, YVONNE ELIZABETH
Chinese Name of Relevant Individual
HKMA Registration Number
AH4504
Current Registration
Not Applicable
Business Address
Not Applicable
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 NEW YORK MELLON (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Dec 2021 - 11 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
17 Dec 2021 - 11 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Dec 2018 - 12 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
01 Dec 2018 - 12 Aug 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
27 Apr 2017 - 12 Aug 2021
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
27 Apr 2017 - 12 Aug 2021
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
THOM, YVONNE ELIZABETH
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH4504
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH4504
BANK OF NEW YORK MELLON (THE)
Type 1: dealing in securities
17 Dec 2021 - 11 Apr 2024
No
AH4504
BANK OF NEW YORK MELLON (THE)
Type 4: advising on securities
17 Dec 2021 - 11 Apr 2024
No
AH4504
HSBC BANK PLC
Type 1: dealing in securities
01 Dec 2018 - 12 Aug 2021
No
AH4504
HSBC BANK PLC
Type 4: advising on securities
01 Dec 2018 - 12 Aug 2021
No
AH4504
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
27 Apr 2017 - 12 Aug 2021
No
AH4504
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
27 Apr 2017 - 12 Aug 2021
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.