Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
SZE, HOI YAN
Chinese Name of Relevant Individual

施凱恩
HKMA Registration Number
AI6014
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
TORONTO-DOMINION BANK
Regulated Activity
Type 1: dealing in securities
First date of engagement
15 May 2023
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE
Remarks
Registered Institution
TORONTO-DOMINION BANK
Regulated Activity
Type 4: advising on securities
First date of engagement
15 May 2023
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
SZE, HOI YAN
:
Chinese Name of Relevant Individual
施凱恩
:
HKMA Registration Number
AI6014
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
TORONTO-DOMINION BANK
Type 1: dealing in securities
15 May 2023
No
ASSOCIATE
TORONTO-DOMINION BANK
Type 4: advising on securities
15 May 2023
No
ASSOCIATE