Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YU, YEE KAN ANGUS
Chinese Name of Relevant Individual
余以勤
HKMA Registration Number
AH7288
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
04 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT, INVESTMENT SPECIALIST
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
04 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT, INVESTMENT SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 04 Jul 2025
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
Since 04 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jul 2024 - 25 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 Jul 2024 - 25 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Nov 2021 - 07 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Nov 2021 - 07 Jul 2024
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
30 Oct 2020 - 09 Oct 2021
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
30 Oct 2020 - 09 Oct 2021
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
30 Oct 2020 - 09 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Mar 2018 - 05 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Mar 2018 - 05 Jan 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
YU, YEE KAN ANGUS
:
Chinese Name of Relevant Individual
余以勤
:
HKMA Registration Number
AH7288
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
04 Jul 2025
No
VICE PRESIDENT, INVESTMENT SPECIALIST
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
04 Jul 2025
No
VICE PRESIDENT, INVESTMENT SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH7288
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 04 Jul 2025
No
AH7288
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 04 Jul 2025
No
AH7288
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Jul 2024 - 25 May 2025
No
AH7288
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
17 Jul 2024 - 25 May 2025
No
AH7288
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
04 Nov 2021 - 07 Jul 2024
No
AH7288
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
04 Nov 2021 - 07 Jul 2024
No
AH7288
HANG SENG BANK, LIMITED
Type 1: dealing in securities
30 Oct 2020 - 09 Oct 2021
No
AH7288
HANG SENG BANK, LIMITED
Type 4: advising on securities
30 Oct 2020 - 09 Oct 2021
No
AH7288
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
30 Oct 2020 - 09 Oct 2021
No
AH7288
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
06 Mar 2018 - 05 Jan 2020
No
AH7288
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
06 Mar 2018 - 05 Jan 2020
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.