Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHOW, NGA YI
Chinese Name of Relevant Individual
周雅意
HKMA Registration Number
AI7498
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
17 Sep 2025
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT, INVESTMENT SPECIALIST
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
17 Sep 2025
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT, INVESTMENT SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 17 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 17 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Aug 2024 - 31 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Aug 2024 - 31 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
09 Aug 2024 - 31 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Sep 2023 - 18 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
20 Sep 2023 - 18 Apr 2024
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
06 Sep 2022 - 05 Aug 2023
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
06 Sep 2022 - 05 Aug 2023
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
06 Sep 2022 - 05 Aug 2023
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
06 Sep 2022 - 05 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
22 Feb 2022 - 03 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Aug 2021 - 03 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Aug 2021 - 03 Jul 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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
CHOW, NGA YI
:
Chinese Name of Relevant Individual
周雅意
:
HKMA Registration Number
AI7498
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
17 Sep 2025
No
VICE PRESIDENT, INVESTMENT SPECIALIST
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
17 Sep 2025
No
VICE PRESIDENT, INVESTMENT SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI7498
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 17 Sep 2025
No
AI7498
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 17 Sep 2025
No
AI7498
HANG SENG BANK, LIMITED
Type 1: dealing in securities
09 Aug 2024 - 31 Aug 2025
No
AI7498
HANG SENG BANK, LIMITED
Type 4: advising on securities
09 Aug 2024 - 31 Aug 2025
No
AI7498
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
09 Aug 2024 - 31 Aug 2025
No
AI7498
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
20 Sep 2023 - 18 Apr 2024
No
AI7498
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
20 Sep 2023 - 18 Apr 2024
No
AI7498
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 Sep 2022 - 05 Aug 2023
No
AI7498
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
06 Sep 2022 - 05 Aug 2023
No
AI7498
CITIBANK, N.A.
Type 1: dealing in securities
06 Sep 2022 - 05 Aug 2023
No
AI7498
CITIBANK, N.A.
Type 4: advising on securities
06 Sep 2022 - 05 Aug 2023
No
AI7498
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
22 Feb 2022 - 03 Jul 2022
No
AI7498
HANG SENG BANK, LIMITED
Type 1: dealing in securities
25 Aug 2021 - 03 Jul 2022
No
AI7498
HANG SENG BANK, LIMITED
Type 4: advising on securities
25 Aug 2021 - 03 Jul 2022
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.