Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, HO YIN
Chinese Name of Relevant Individual
蘇浩然
HKMA Registration Number
AI7243
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
19 Oct 2024
Is an Executive Officer? (Yes / No)
No
Capacity
DEPUTY TELESERVICES MANAGER
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
19 Oct 2024
Is an Executive Officer? (Yes / No)
No
Capacity
DEPUTY TELESERVICES MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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 CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 19 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 19 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jul 2023 - 11 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Jul 2023 - 11 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Jul 2021 - 06 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
31 Jul 2021 - 06 May 2023
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, HO YIN
:
Chinese Name of Relevant Individual
蘇浩然
:
HKMA Registration Number
AI7243
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
19 Oct 2024
No
DEPUTY TELESERVICES MANAGER
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
19 Oct 2024
No
DEPUTY TELESERVICES MANAGER
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI7243
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 19 Oct 2024
No
AI7243
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 19 Oct 2024
No
AI7243
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
27 Jul 2023 - 11 Aug 2024
No
AI7243
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
27 Jul 2023 - 11 Aug 2024
No
AI7243
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
31 Jul 2021 - 06 May 2023
No
AI7243
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
31 Jul 2021 - 06 May 2023
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.