Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAU, TSZ YU
Chinese Name of Relevant Individual
邱紫瑜
HKMA Registration Number
AI0822
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
10 Jun 2026
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
10 Jun 2026
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
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 10 Jun 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 10 Jun 2026
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
21 Feb 2026 - 08 May 2026
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
21 Feb 2026 - 08 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Aug 2023 - 25 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
22 Aug 2023 - 25 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jul 2021 - 05 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Feb 2019 - 16 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
14 Feb 2019 - 16 Mar 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
YAU, TSZ YU
:
Chinese Name of Relevant Individual
邱紫瑜
:
HKMA Registration Number
AI0822
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
10 Jun 2026
No
RELATIONSHIP MANAGEMENT
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
10 Jun 2026
No
RELATIONSHIP MANAGEMENT
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)
AI0822
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 10 Jun 2026
No
AI0822
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 10 Jun 2026
No
AI0822
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Feb 2026 - 08 May 2026
No
AI0822
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Feb 2026 - 08 May 2026
No
AI0822
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Type 1: dealing in securities
22 Aug 2023 - 25 Apr 2024
No
AI0822
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Type 4: advising on securities
22 Aug 2023 - 25 Apr 2024
No
AI0822
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
17 Jul 2021 - 05 Jul 2023
No
AI0822
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Type 1: dealing in securities
14 Feb 2019 - 16 Mar 2021
No
AI0822
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Type 4: advising on securities
14 Feb 2019 - 16 Mar 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.