Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
SO, TSZ YAN SANDY
Chinese Name of Relevant Individual

蘇芷茵
HKMA Registration Number
AJ4577
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
23 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR WEALTH & PERSONAL BANKING EXECUTIVE
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
23 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR WEALTH & PERSONAL BANKING EXECUTIVE
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
SO, TSZ YAN SANDY
:
Chinese Name of Relevant Individual
蘇芷茵
:
HKMA Registration Number
AJ4577
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
23 May 2024
No
SENIOR WEALTH & PERSONAL BANKING EXECUTIVE
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
23 May 2024
No
SENIOR WEALTH & PERSONAL BANKING EXECUTIVE