Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAN, LOK YI
Chinese Name of Relevant Individual
殷樂怡
HKMA Registration Number
AH8132
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 EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Sep 2022 - 13 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
22 Sep 2022 - 13 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Oct 2019 - 04 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
15 Oct 2019 - 04 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jun 2018 - 24 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jun 2018 - 24 Aug 2019
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
YAN, LOK YI
:
Chinese Name of Relevant Individual
殷樂怡
:
HKMA Registration Number
AH8132
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH8132
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
22 Sep 2022 - 13 Aug 2024
No
AH8132
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
22 Sep 2022 - 13 Aug 2024
No
AH8132
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
15 Oct 2019 - 04 Aug 2021
No
AH8132
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
15 Oct 2019 - 04 Aug 2021
No
AH8132
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Jun 2018 - 24 Aug 2019
No
AH8132
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Jun 2018 - 24 Aug 2019
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.