Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, KAM WAI
Chinese Name of Relevant Individual
劉錦蕙
HKMA Registration Number
AA1052
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 CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jan 2009 - 05 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jan 2009 - 05 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Mar 2004 - 19 Oct 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
10 Mar 2004 - 19 Oct 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 7: providing automated trading services
Effective Period
10 Mar 2004 - 21 Mar 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 26 Jul 2003
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 26 Jul 2003
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, KAM WAI
:
Chinese Name of Relevant Individual
劉錦蕙
:
HKMA Registration Number
AA1052
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1052
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jan 2009 - 05 May 2016
No
AA1052
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
01 Jan 2009 - 05 May 2016
No
AA1052
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
10 Mar 2004 - 19 Oct 2008
No
AA1052
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
10 Mar 2004 - 19 Oct 2008
No
AA1052
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 7: providing automated trading services
10 Mar 2004 - 21 Mar 2005
No
AA1052
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 26 Jul 2003
No
AA1052
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 26 Jul 2003
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.