Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, SHUK CHING SUSAN
Chinese Name of Relevant Individual
劉淑貞
HKMA Registration Number
AA0040
Current Registration
Not Applicable
Business Address
Not Applicable
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
06 Aug 2020 - 19 Dec 2021
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
06 Aug 2020 - 19 Dec 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2010 - 30 Jun 2020
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
01 Sep 2010 - 30 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EAST WEST BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Nov 2009 - 01 Aug 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EAST WEST BANK
Regulated Activity
Type 4: advising on securities
Effective Period
10 Nov 2009 - 01 Aug 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED COMMERCIAL BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Mar 2007 - 08 Feb 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED COMMERCIAL BANK
Regulated Activity
Type 4: advising on securities
Effective Period
21 Mar 2007 - 08 Feb 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 20 Apr 2005
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
01 Apr 2003 - 20 Apr 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Apr 2003 - 20 Apr 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 10 Jan 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
LAU, SHUK CHING SUSAN
:
Chinese Name of Relevant Individual
劉淑貞
:
HKMA Registration Number
AA0040
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA0040
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
06 Aug 2020 - 19 Dec 2021
No
AA0040
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
06 Aug 2020 - 19 Dec 2021
No
AA0040
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
01 Sep 2010 - 30 Jun 2020
No
AA0040
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
01 Sep 2010 - 30 Jun 2020
No
AA0040
EAST WEST BANK
Type 1: dealing in securities
10 Nov 2009 - 01 Aug 2010
No
AA0040
EAST WEST BANK
Type 4: advising on securities
10 Nov 2009 - 01 Aug 2010
No
AA0040
UNITED COMMERCIAL BANK
Type 1: dealing in securities
21 Mar 2007 - 08 Feb 2010
No
AA0040
UNITED COMMERCIAL BANK
Type 4: advising on securities
21 Mar 2007 - 08 Feb 2010
No
AA0040
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
01 Apr 2003 - 20 Apr 2005
No
AA0040
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
01 Apr 2003 - 20 Apr 2005
No
AA0040
BANK OF EAST ASIA, LIMITED (THE)
Type 6: advising on corporate finance
01 Apr 2003 - 20 Apr 2005
No
AA0040
BANK OF EAST ASIA, LIMITED (THE)
Type 7: providing automated trading services
01 Apr 2003 - 10 Jan 2005
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.