Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, YUN YING
Chinese Name of Relevant Individual
陳潤瑩
HKMA Registration Number
AI3464
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
01 Aug 2023
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR SPECIALIST
Remarks
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
01 Aug 2023
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
SFC CE number
AGV591
Business Address
23/F, ONE CAUSEWAY BAY, 281 GLOUCESTER ROAD, CAUSEWAY BAY, 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
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 01 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 01 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Jul 2021 - 30 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 Jul 2021 - 30 Jun 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
05 Dec 2019 - 16 Jul 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
05 Dec 2019 - 16 Jul 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
CHAN, YUN YING
:
Chinese Name of Relevant Individual
陳潤瑩
:
HKMA Registration Number
AI3464
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CATHAY UNITED BANK COMPANY, LIMITED
Type 1: dealing in securities
01 Aug 2023
No
SENIOR SPECIALIST
CATHAY UNITED BANK COMPANY, LIMITED
Type 4: advising on securities
01 Aug 2023
No
SENIOR SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
CATHAY UNITED BANK COMPANY, LIMITED
AGV591
23/F, ONE CAUSEWAY BAY, 281 GLOUCESTER ROAD, CAUSEWAY BAY, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI3464
CATHAY UNITED BANK COMPANY, LIMITED
Type 1: dealing in securities
Since 01 Aug 2023
No
AI3464
CATHAY UNITED BANK COMPANY, LIMITED
Type 4: advising on securities
Since 01 Aug 2023
No
AI3464
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
31 Jul 2021 - 30 Jun 2023
No
AI3464
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
31 Jul 2021 - 30 Jun 2023
No
AI3464
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Type 1: dealing in securities
05 Dec 2019 - 16 Jul 2021
No
AI3464
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Type 4: advising on securities
05 Dec 2019 - 16 Jul 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.