Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YIU, CHI KIN
Chinese Name of Relevant Individual
姚志健
HKMA Registration Number
AI3071
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
17 Feb 2024
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT MANAGER, HSBC PREMIER
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
17 Feb 2024
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT MANAGER, HSBC PREMIER
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 17 Feb 2024
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 17 Feb 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Apr 2023 - 14 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Apr 2023 - 14 Jan 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
07 Jul 2022 - 08 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jul 2022 - 08 Apr 2023
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
16 Oct 2019 - 21 May 2022
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
16 Oct 2019 - 21 May 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
YIU, CHI KIN
:
Chinese Name of Relevant Individual
姚志健
:
HKMA Registration Number
AI3071
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
17 Feb 2024
No
ASSISTANT MANAGER, HSBC PREMIER
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
17 Feb 2024
No
ASSISTANT MANAGER, HSBC PREMIER
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)
AI3071
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 17 Feb 2024
No
AI3071
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 17 Feb 2024
No
AI3071
DAH SING BANK, LIMITED
Type 1: dealing in securities
21 Apr 2023 - 14 Jan 2024
No
AI3071
DAH SING BANK, LIMITED
Type 4: advising on securities
21 Apr 2023 - 14 Jan 2024
No
AI3071
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
07 Jul 2022 - 08 Apr 2023
No
AI3071
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
07 Jul 2022 - 08 Apr 2023
No
AI3071
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
16 Oct 2019 - 21 May 2022
No
AI3071
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
16 Oct 2019 - 21 May 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.