Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, JOU-YU
Chinese Name of Relevant Individual
劉柔語
HKMA Registration Number
AI3303
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
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 May 2023 - 26 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
19 May 2023 - 26 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
19 May 2023 - 26 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
19 May 2023 - 26 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 May 2020 - 31 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
18 May 2020 - 31 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
18 May 2020 - 31 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Feb 2020 - 13 May 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
14 Feb 2020 - 13 May 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Nov 2019 - 11 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
11 Nov 2019 - 11 Feb 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
LIU, JOU-YU
:
Chinese Name of Relevant Individual
劉柔語
:
HKMA Registration Number
AI3303
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI3303
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
19 May 2023 - 26 May 2023
No
AI3303
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 4: advising on securities
19 May 2023 - 26 May 2023
No
AI3303
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
19 May 2023 - 26 May 2023
No
AI3303
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
19 May 2023 - 26 May 2023
No
AI3303
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
26 May 2020 - 31 Dec 2020
No
AI3303
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
18 May 2020 - 31 Dec 2020
No
AI3303
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
18 May 2020 - 31 Dec 2020
No
AI3303
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
14 Feb 2020 - 13 May 2020
No
AI3303
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
14 Feb 2020 - 13 May 2020
No
AI3303
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
11 Nov 2019 - 11 Feb 2020
No
AI3303
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
11 Nov 2019 - 11 Feb 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.