Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
XIE, YI
Chinese Name of Relevant Individual
解一
HKMA Registration Number
AH5628
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
28 Feb 2026
Is an Executive Officer? (Yes / No)
No
Capacity
HEAD OF INSTITUTIONAL SALES
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Feb 2026
Is an Executive Officer? (Yes / No)
No
Capacity
HEAD OF INSTITUTIONAL SALES
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 28 Feb 2026
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 28 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Dec 2018 - 16 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Aug 2017 - 14 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
30 Aug 2017 - 14 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Aug 2017 - 14 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
30 Aug 2017 - 14 Oct 2018
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
XIE, YI
:
Chinese Name of Relevant Individual
解一
:
HKMA Registration Number
AH5628
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
28 Feb 2026
No
HEAD OF INSTITUTIONAL SALES
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
28 Feb 2026
No
HEAD OF INSTITUTIONAL SALES
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)
AH5628
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 28 Feb 2026
No
AH5628
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 28 Feb 2026
No
AH5628
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
06 Dec 2018 - 16 Nov 2023
No
AH5628
CITIBANK, N.A.
Type 1: dealing in securities
30 Aug 2017 - 14 Oct 2018
No
AH5628
CITIBANK, N.A.
Type 4: advising on securities
30 Aug 2017 - 14 Oct 2018
No
AH5628
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
30 Aug 2017 - 14 Oct 2018
No
AH5628
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
30 Aug 2017 - 14 Oct 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.