Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YE, QIN
Chinese Name of Relevant Individual
叶沁
HKMA Registration Number
AI2434
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
11 Feb 2023
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Feb 2023
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
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 11 Feb 2023
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 11 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Aug 2019 - 04 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
15 Aug 2019 - 04 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Aug 2019 - 04 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
10 Aug 2019 - 04 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
Effective Period
10 Aug 2019 - 04 Aug 2022
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
YE, QIN
:
Chinese Name of Relevant Individual
叶沁
:
HKMA Registration Number
AI2434
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
11 Feb 2023
No
RELATIONSHIP MANAGER
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
11 Feb 2023
No
RELATIONSHIP MANAGER
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)
AI2434
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 11 Feb 2023
No
AI2434
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 11 Feb 2023
No
AI2434
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
15 Aug 2019 - 04 Aug 2022
No
AI2434
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
15 Aug 2019 - 04 Aug 2022
No
AI2434
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
10 Aug 2019 - 04 Aug 2022
No
AI2434
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
10 Aug 2019 - 04 Aug 2022
No
AI2434
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
10 Aug 2019 - 04 Aug 2022
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.