Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, TSAM YU
Chinese Name of Relevant Individual
李沁茹
HKMA Registration Number
AJ3697
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
05 Oct 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR RELATIONSHIP MANAGER
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
05 Oct 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
SFC CE number
AAJ165
Business Address
BANK OF EAST ASIA BUILDING, 10 DES VOEUX 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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 05 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 05 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jul 2024 - 22 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Jul 2024 - 22 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Dec 2023 - 07 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
09 Dec 2023 - 07 Apr 2024
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
LI, TSAM YU
:
Chinese Name of Relevant Individual
李沁茹
:
HKMA Registration Number
AJ3697
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
05 Oct 2024
No
SENIOR RELATIONSHIP MANAGER
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
05 Oct 2024
No
SENIOR RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
BANK OF EAST ASIA, LIMITED (THE)
AAJ165
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ3697
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
Since 05 Oct 2024
No
AJ3697
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
Since 05 Oct 2024
No
AJ3697
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
03 Jul 2024 - 22 Aug 2024
No
AJ3697
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
03 Jul 2024 - 22 Aug 2024
No
AJ3697
BANK OF CHINA INTERNATIONAL LIMITED
Type 1: dealing in securities
09 Dec 2023 - 07 Apr 2024
No
AJ3697
BANK OF CHINA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
09 Dec 2023 - 07 Apr 2024
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.