Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAU, YU YAN
Chinese Name of Relevant Individual
邱洳茵
HKMA Registration Number
AI8430
Current Registration
Not Applicable
Business Address
Not Applicable
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
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2023 - 22 May 2026
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
01 Jul 2023 - 22 May 2026
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
25 Nov 2022 - 02 Mar 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
25 Nov 2022 - 02 Mar 2023
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
21 Dec 2021 - 25 Sep 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
21 Dec 2021 - 25 Sep 2022
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
21 Dec 2021 - 30 Jun 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
YAU, YU YAN
:
Chinese Name of Relevant Individual
邱洳茵
:
HKMA Registration Number
AI8430
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI8430
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2023 - 22 May 2026
No
AI8430
CITIBANK, N.A.
Type 1: dealing in securities
01 Jul 2023 - 22 May 2026
No
AI8430
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
25 Nov 2022 - 02 Mar 2023
No
AI8430
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
25 Nov 2022 - 02 Mar 2023
No
AI8430
HANG SENG BANK, LIMITED
Type 1: dealing in securities
21 Dec 2021 - 25 Sep 2022
No
AI8430
HANG SENG BANK, LIMITED
Type 4: advising on securities
21 Dec 2021 - 25 Sep 2022
No
AI8430
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
21 Dec 2021 - 30 Jun 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.