Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, KIN MING
Chinese Name of Relevant Individual
蘇建明
HKMA Registration Number
AI3503
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
05 Sep 2025
Is an Executive Officer? (Yes / No)
No
Capacity
BRANCH OPERATIONS & SERVICES MANAGER
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
05 Sep 2025
Is an Executive Officer? (Yes / No)
No
Capacity
BRANCH OPERATIONS & SERVICES MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
SFC CE number
AAJ165
Business Address
BANK OF EAST ASIA BUILDING, 10 DES VOEUX 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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 05 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 05 Sep 2025
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
25 Jul 2023 - 24 Jul 2025
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
25 Jul 2023 - 24 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Dec 2019 - 13 Sep 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
11 Dec 2019 - 13 Sep 2020
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
SO, KIN MING
:
Chinese Name of Relevant Individual
蘇建明
:
HKMA Registration Number
AI3503
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
05 Sep 2025
No
BRANCH OPERATIONS & SERVICES MANAGER
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
05 Sep 2025
No
BRANCH OPERATIONS & SERVICES MANAGER
Name of Registered Institution
SFC CE number
Business Address
BANK OF EAST ASIA, LIMITED (THE)
AAJ165
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI3503
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
Since 05 Sep 2025
No
AI3503
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
Since 05 Sep 2025
No
AI3503
DAH SING BANK, LIMITED
Type 1: dealing in securities
25 Jul 2023 - 24 Jul 2025
No
AI3503
DAH SING BANK, LIMITED
Type 4: advising on securities
25 Jul 2023 - 24 Jul 2025
No
AI3503
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
11 Dec 2019 - 13 Sep 2020
No
AI3503
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
11 Dec 2019 - 13 Sep 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.