Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAO, YAN CHAK
Chinese Name of Relevant Individual
姚恩澤
HKMA Registration Number
AI1695
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
17 Sep 2020
Is an Executive Officer? (Yes / No)
No
Capacity
PERSONAL BANKING MANAGER-CC
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
17 Sep 2020
Is an Executive Officer? (Yes / No)
No
Capacity
PERSONAL BANKING MANAGER-CC
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 17 Sep 2020
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
Since 17 Sep 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Jul 2021 - 05 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Jul 2021 - 05 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jul 2021 - 20 Sep 2024
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
08 Jul 2021 - 20 Sep 2024
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
25 May 2019 - 05 Jul 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
YAO, YAN CHAK
:
Chinese Name of Relevant Individual
姚恩澤
:
HKMA Registration Number
AI1695
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
17 Sep 2020
No
PERSONAL BANKING MANAGER-CC
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
17 Sep 2020
No
PERSONAL BANKING MANAGER-CC
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI1695
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 17 Sep 2020
No
AI1695
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 17 Sep 2020
No
AI1695
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
02 Jul 2021 - 05 May 2025
No
AI1695
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
02 Jul 2021 - 05 May 2025
No
AI1695
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
08 Jul 2021 - 20 Sep 2024
No
AI1695
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
08 Jul 2021 - 20 Sep 2024
No
AI1695
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
25 May 2019 - 05 Jul 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.