Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHO, WAI YAN
Chinese Name of Relevant Individual
曹慧欣
HKMA Registration Number
AI0445
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
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Feb 2022 - 16 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
16 Feb 2022 - 16 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
16 Feb 2022 - 16 Sep 2022
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
05 Jan 2019 - 08 Aug 2021
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
05 Jan 2019 - 08 Aug 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
CHO, WAI YAN
:
Chinese Name of Relevant Individual
曹慧欣
:
HKMA Registration Number
AI0445
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI0445
SUMITOMO MITSUI BANKING CORPORATION
Type 1: dealing in securities
16 Feb 2022 - 16 Sep 2022
No
AI0445
SUMITOMO MITSUI BANKING CORPORATION
Type 4: advising on securities
16 Feb 2022 - 16 Sep 2022
No
AI0445
SUMITOMO MITSUI BANKING CORPORATION
Type 6: advising on corporate finance
16 Feb 2022 - 16 Sep 2022
No
AI0445
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
05 Jan 2019 - 08 Aug 2021
No
AI0445
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
05 Jan 2019 - 08 Aug 2021
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.