Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, HOK YAN
Chinese Name of Relevant Individual
廖學欣
HKMA Registration Number
AH9169
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
07 Jan 2026
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE DIRECTOR, FINANCIAL PLANNING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
07 Jan 2026
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE DIRECTOR, FINANCIAL PLANNING
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 07 Jan 2026
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 07 Jan 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jun 2023 - 11 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Jun 2023 - 11 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Apr 2021 - 16 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
30 Apr 2021 - 16 Jun 2022
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
28 Jun 2019 - 04 Apr 2021
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
28 Jun 2019 - 04 Apr 2021
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
01 Sep 2018 - 15 May 2019
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
01 Sep 2018 - 15 May 2019
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
01 Sep 2018 - 15 May 2019
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
LIU, HOK YAN
:
Chinese Name of Relevant Individual
廖學欣
:
HKMA Registration Number
AH9169
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
07 Jan 2026
No
ASSOCIATE DIRECTOR, FINANCIAL PLANNING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
07 Jan 2026
No
ASSOCIATE DIRECTOR, FINANCIAL PLANNING
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)
AH9169
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 07 Jan 2026
No
AH9169
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 07 Jan 2026
No
AH9169
DAH SING BANK, LIMITED
Type 1: dealing in securities
16 Jun 2023 - 11 Oct 2025
No
AH9169
DAH SING BANK, LIMITED
Type 4: advising on securities
16 Jun 2023 - 11 Oct 2025
No
AH9169
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
30 Apr 2021 - 16 Jun 2022
No
AH9169
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
30 Apr 2021 - 16 Jun 2022
No
AH9169
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 Jun 2019 - 04 Apr 2021
No
AH9169
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 Jun 2019 - 04 Apr 2021
No
AH9169
HANG SENG BANK, LIMITED
Type 1: dealing in securities
01 Sep 2018 - 15 May 2019
No
AH9169
HANG SENG BANK, LIMITED
Type 4: advising on securities
01 Sep 2018 - 15 May 2019
No
AH9169
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
01 Sep 2018 - 15 May 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.