Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YU, LOK YI
Chinese Name of Relevant Individual
余樂誼
HKMA Registration Number
AI0365
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
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Nov 2024 - 19 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Nov 2024 - 19 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Oct 2022 - 01 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
22 Oct 2022 - 01 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Nov 2021 - 19 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
05 Nov 2021 - 19 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Jun 2020 - 30 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
30 Jun 2020 - 30 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Dec 2018 - 09 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
28 Dec 2018 - 09 Mar 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, LOK YI
:
Chinese Name of Relevant Individual
余樂誼
:
HKMA Registration Number
AI0365
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI0365
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
02 Nov 2024 - 19 Aug 2025
No
AI0365
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
02 Nov 2024 - 19 Aug 2025
No
AI0365
CHINA EVERBRIGHT BANK CO., LTD.
Type 1: dealing in securities
22 Oct 2022 - 01 Sep 2024
No
AI0365
CHINA EVERBRIGHT BANK CO., LTD.
Type 4: advising on securities
22 Oct 2022 - 01 Sep 2024
No
AI0365
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
05 Nov 2021 - 19 Jul 2022
No
AI0365
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
05 Nov 2021 - 19 Jul 2022
No
AI0365
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
30 Jun 2020 - 30 Sep 2021
No
AI0365
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
30 Jun 2020 - 30 Sep 2021
No
AI0365
CREDIT SUISSE AG
Type 1: dealing in securities
28 Dec 2018 - 09 Mar 2020
No
AI0365
CREDIT SUISSE AG
Type 4: advising on securities
28 Dec 2018 - 09 Mar 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.