---
schema_version: "secwatch.filing_event.v1"
accession: "0001213900-26-101845"
form_type: "8-K"
ticker: "TOP"
cik: "0001848275"
company_name: "TOP Financial Group Ltd"
filed_at: "2026-09-21T21:00:14+00:00"
generated_at: "2026-09-21T21:02:25.452427+00:00"
event_type: "leadership"
sentiment: "neutral"
materiality_score: 0.6
calibrated_materiality_score: 0.6
confidence: "high"
source: SEC EDGAR
---

# Top Financial appoints Tam as co-CEO and director; Yuen remains co-CEO

## Summary
- Effective Sept 21, 2026, Hoi Ling Jennifer Tam appointed director and co-CEO; she resigned as COO same day.
- Ka Fai Yuen resigned as director but continues as co-CEO, no longer sole CEO; resignation not from any disagreement.
- Tam, 49, has 15+ years in financial services and has been COO since Feb 2021; no related-party transactions disclosed.
- Tam receives no additional compensation for director role; continues under existing employment agreement.

## SEC filing metadata
- accession: 0001213900-26-101845
- form_type: 8-K
- ticker: TOP
- cik: 0001848275
- company_name: TOP Financial Group Ltd
- filed_at: 2026-09-21T21:00:14+00:00
- event_type: leadership
- sentiment: neutral
- materiality_score: 0.6
- calibrated_materiality_score: 0.6
- confidence: high
- sec_items: 5.02
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1848275/000121390026101845/0001213900-26-101845-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1848275/000121390026101845/ea0306118-8k_topfin.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001213900-26-101845
- JSON: https://secwatch.observer/filing/0001213900-26-101845.json
- Plain text: https://secwatch.observer/filing/0001213900-26-101845.txt

## Key facts
- Executive change
  Ka Fai Yuen resigned as Director at TOP Financial Group Ltd.
  - Action: resigned
  - Role: Director
  source text: On September 21, 2026, Mr. Ka Fai Yuen resigned as a director of TOP Financial Group Limited (the “Company”).
  evidence_url: https://www.sec.gov/Archives/edgar/data/1848275/000121390026101845/0001213900-26-101845-index.htm
- Executive change
  Ka Fai Yuen changed role as Co-Chief Executive Officer at TOP Financial Group Ltd.
  - Action: began serving as
  - Role: Co-Chief Executive Officer
  source text: Effective September 21, 2026, in connection with the appointment of Ms. Tam as co-Chief Executive Officer, Mr. Ka Fai Yuen ceased to serve as the sole Chief Executive Officer of the Company and began serving as co-Chief Executive Officer of the Company.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1848275/000121390026101845/0001213900-26-101845-index.htm
- Executive change
  Hoi Ling Jennifer Tam resigned as Chief Operating Officer at TOP Financial Group Ltd.
  - Action: resigned
  - Role: Chief Operating Officer
  source text: Effective September 21, 2026, Ms. Hoi Ling Jennifer Tam resigned as the Chief Operating Officer of the Company.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1848275/000121390026101845/0001213900-26-101845-index.htm
- Executive change
  Hoi Ling Jennifer Tam was appointed as Director at TOP Financial Group Ltd.
  - Action: appointed
  - Role: Director
  source text: Effective September 21, 2026, the Board of Directors (the “Board”) of the Company, upon the recommendation of the Nominating Committee of the Board, appointed Ms. Hoi Ling Jennifer Tam as a director and co-Chief Executive Officer of the Company.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1848275/000121390026101845/0001213900-26-101845-index.htm
- Executive change
  Hoi Ling Jennifer Tam was appointed as Co-Chief Executive Officer at TOP Financial Group Ltd.
  - Action: appointed
  - Role: Co-Chief Executive Officer
  source text: Effective September 21, 2026, the Board of Directors (the “Board”) of the Company, upon the recommendation of the Nominating Committee of the Board, appointed Ms. Hoi Ling Jennifer Tam as a director and co-Chief Executive Officer of the Company.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1848275/000121390026101845/0001213900-26-101845-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.