TOP Financial lists CEO Yuen Ka Fai as insider

TOP Financial Group Ltd reports information on Yuen Ka Fai, who is identified as a director and Chief Executive Officer.

Accepted by SEC EDGAR 07/31/2026 - 03:09 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

TOP Financial Group Ltd reports information on Yuen Ka Fai, who is identified as a director and Chief Executive Officer. The report designates him as a reporting person for the company and, based on the transaction data provided, does not show any equity transactions.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What role does Yuen Ka Fai hold at TOP (TOP) in this insider report?

Yuen Ka Fai is identified as Director & CEO of TOP Financial Group Ltd. He serves both on the board as a director and in an executive capacity as chief executive officer, and is treated as a reporting person for the company.

Is Yuen Ka Fai a ten percent owner of TOP (TOP) according to this filing?

No. The insider information flags Yuen Ka Fai’s ten percent owner status as 0, indicating he is not classified as a 10% beneficial owner of TOP Financial Group Ltd in this report.

Does the TOP (TOP) insider data show any share purchases or sales by Yuen Ka Fai?

No. The transaction summary shows zero buy, sell, acquire, dispose, or other share transactions for Yuen Ka Fai, indicating no insider trading activity is reported in this dataset.

What type of insider filing links TOP (TOP) and Yuen Ka Fai here?

The data corresponds to a Form 3, which lists TOP Financial Group Ltd together with reporting person Yuen Ka Fai, reflecting his status as a director and Chief Executive Officer of the company.

Are any derivative securities reported for Yuen Ka Fai in TOP (TOP)’s insider information?

No derivative securities are reported. The derivative transaction count is 0 and the derivative summary contains no positions, so this dataset does not show options, warrants, or other derivative holdings for Yuen Ka Fai.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Yuen Ka Fai

(Last) (First) (Middle)

C/O TOP FINANCIAL GROUP LIMITED

101 CECIL ST #13-05 TONG ENG BLDG

(Street)

SINGAPORE HONG KONG 069533

(City) (State) (Zip)

SINGAPORE

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026

3. Issuer Name and Ticker or Trading Symbol
TOP Financial Group Ltd [ TOP ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Director & CEO

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

No securities are beneficially owned.

	/s/ Ka Fai Yuen	07/31/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)