Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
CAO, YU
Chinese Name of Relevant Individual

曹玉
HKMA Registration Number
AJ8519
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
11 Dec 2025
Is an Executive Officer? (Yes / No)
No
Capacity
HSBC PREMIER ELITE DIRECTOR, INTERNATIONAL
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Dec 2025
Is an Executive Officer? (Yes / No)
No
Capacity
HSBC PREMIER ELITE DIRECTOR, INTERNATIONAL
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
CAO, YU
:
Chinese Name of Relevant Individual
曹玉
:
HKMA Registration Number
AJ8519
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
11 Dec 2025
No
HSBC PREMIER ELITE DIRECTOR, INTERNATIONAL
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
11 Dec 2025
No
HSBC PREMIER ELITE DIRECTOR, INTERNATIONAL