Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, CHUN YIN
Chinese Name of Relevant Individual
蘇俊賢
HKMA Registration Number
AH8443
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
07 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
07 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
FUBON BANK (HONG KONG) LIMITED
SFC CE number
AAA582
Business Address
FUBON BANK BUILDING, 38 DES VOEUX 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
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 07 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 07 May 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
17 Jan 2024 - 15 Mar 2024
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
17 Jan 2024 - 15 Mar 2024
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
17 Jan 2024 - 15 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Oct 2022 - 21 Dec 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
22 Oct 2022 - 21 Dec 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
25 Aug 2021 - 11 Sep 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
25 Aug 2021 - 11 Sep 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
25 Aug 2021 - 30 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jul 2020 - 12 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jul 2020 - 12 Jul 2021
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
12 Jul 2018 - 21 Jun 2020
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
12 Jul 2018 - 21 Jun 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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
SO, CHUN YIN
:
Chinese Name of Relevant Individual
蘇俊賢
:
HKMA Registration Number
AH8443
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 May 2024
No
RELATIONSHIP MANAGER
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 May 2024
No
RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
FUBON BANK (HONG KONG) LIMITED
AAA582
FUBON BANK BUILDING, 38 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH8443
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 07 May 2024
No
AH8443
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 07 May 2024
No
AH8443
HANG SENG BANK, LIMITED
Type 1: dealing in securities
17 Jan 2024 - 15 Mar 2024
No
AH8443
HANG SENG BANK, LIMITED
Type 4: advising on securities
17 Jan 2024 - 15 Mar 2024
No
AH8443
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
17 Jan 2024 - 15 Mar 2024
No
AH8443
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
22 Oct 2022 - 21 Dec 2023
No
AH8443
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
22 Oct 2022 - 21 Dec 2023
No
AH8443
HANG SENG BANK, LIMITED
Type 1: dealing in securities
25 Aug 2021 - 11 Sep 2022
No
AH8443
HANG SENG BANK, LIMITED
Type 4: advising on securities
25 Aug 2021 - 11 Sep 2022
No
AH8443
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
25 Aug 2021 - 30 Jun 2022
No
AH8443
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
10 Jul 2020 - 12 Jul 2021
No
AH8443
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
10 Jul 2020 - 12 Jul 2021
No
AH8443
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
12 Jul 2018 - 21 Jun 2020
No
AH8443
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
12 Jul 2018 - 21 Jun 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.