Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GAO, YU
Chinese Name of Relevant Individual
高禹
HKMA Registration Number
AH5043
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
26 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
TREASURY MARKETING MANAGER
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
26 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
TREASURY MARKETING MANAGER
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 26 Oct 2023
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 26 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Aug 2022 - 03 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Oct 2018 - 24 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
10 Oct 2018 - 24 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
10 Oct 2018 - 24 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jun 2017 - 09 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
29 Jun 2017 - 09 Aug 2018
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
GAO, YU
:
Chinese Name of Relevant Individual
高禹
:
HKMA Registration Number
AH5043
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
26 Oct 2023
No
TREASURY MARKETING MANAGER
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
26 Oct 2023
No
TREASURY MARKETING MANAGER
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)
AH5043
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 26 Oct 2023
No
AH5043
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 26 Oct 2023
No
AH5043
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Type 1: dealing in securities
18 Aug 2022 - 03 Oct 2023
No
AH5043
HANG SENG BANK, LIMITED
Type 1: dealing in securities
10 Oct 2018 - 24 Jul 2022
No
AH5043
HANG SENG BANK, LIMITED
Type 4: advising on securities
10 Oct 2018 - 24 Jul 2022
No
AH5043
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
10 Oct 2018 - 24 Jul 2022
No
AH5043
INDUSTRIAL BANK CO., LTD.
Type 1: dealing in securities
29 Jun 2017 - 09 Aug 2018
No
AH5043
INDUSTRIAL BANK CO., LTD.
Type 4: advising on securities
29 Jun 2017 - 09 Aug 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.