Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TO, WING YAN
Chinese Name of Relevant Individual
屠咏欣
HKMA Registration Number
AI3643
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
OCBC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
03 Dec 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT SERVICES, CONSUMER FINANCIAL SERVICES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
OCBC BANK (HONG KONG) LIMITED
SFC CE number
AAC083
Business Address
OCBC CENTRE, 161 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
OCBC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 03 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jan 2024 - 21 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jan 2024 - 21 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Feb 2023 - 24 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Feb 2023 - 24 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Sep 2022 - 25 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Sep 2022 - 25 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jul 2021 - 11 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jul 2021 - 11 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jul 2021 - 11 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jul 2021 - 11 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jan 2020 - 30 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jan 2020 - 30 May 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
TO, WING YAN
:
Chinese Name of Relevant Individual
屠咏欣
:
HKMA Registration Number
AI3643
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
OCBC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Dec 2025
No
INVESTMENT SERVICES, CONSUMER FINANCIAL SERVICES
Name of Registered Institution
SFC CE number
Business Address
OCBC BANK (HONG KONG) LIMITED
AAC083
OCBC CENTRE, 161 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI3643
OCBC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 03 Dec 2025
No
AI3643
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Jan 2024 - 21 Sep 2025
No
AI3643
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Jan 2024 - 21 Sep 2025
No
AI3643
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
11 Feb 2023 - 24 Nov 2023
No
AI3643
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
11 Feb 2023 - 24 Nov 2023
No
AI3643
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Sep 2022 - 25 Jan 2023
No
AI3643
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
23 Sep 2022 - 25 Jan 2023
No
AI3643
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Jul 2021 - 11 Sep 2022
No
AI3643
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Jul 2021 - 11 Sep 2022
No
AI3643
CITIBANK, N.A.
Type 1: dealing in securities
20 Jul 2021 - 11 Sep 2022
No
AI3643
CITIBANK, N.A.
Type 4: advising on securities
20 Jul 2021 - 11 Sep 2022
No
AI3643
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Jan 2020 - 30 May 2021
No
AI3643
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Jan 2020 - 30 May 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.