Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAU, LAP SHUN
Chinese Name of Relevant Individual
周立信
HKMA Registration Number
AA1226
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
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jul 2016 - 06 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
26 Jul 2016 - 06 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Sep 2010 - 16 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Sep 2010 - 16 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jul 2008 - 07 Sep 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jul 2008 - 07 Sep 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 9: asset management
Effective Period
05 Jul 2008 - 07 Sep 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AMERICAN EXPRESS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jul 2006 - 29 Jun 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AMERICAN EXPRESS BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jul 2006 - 29 Jun 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AMERICAN EXPRESS BANK LIMITED
Regulated Activity
Type 9: asset management
Effective Period
14 Jul 2006 - 29 Jun 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIC KA WAH BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 May 2005 - 30 Jun 2006
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 - 11 May 2005
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 - 11 May 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 21 Mar 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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
CHAU, LAP SHUN
:
Chinese Name of Relevant Individual
周立信
:
HKMA Registration Number
AA1226
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1226
CREDIT SUISSE AG
Type 1: dealing in securities
26 Jul 2016 - 06 Jun 2019
No
AA1226
CREDIT SUISSE AG
Type 4: advising on securities
26 Jul 2016 - 06 Jun 2019
No
AA1226
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
18 Sep 2010 - 16 Jun 2016
No
AA1226
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
18 Sep 2010 - 16 Jun 2016
No
AA1226
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
05 Jul 2008 - 07 Sep 2009
No
AA1226
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
05 Jul 2008 - 07 Sep 2009
No
AA1226
BNP PARIBAS WEALTH MANAGEMENT
Type 9: asset management
05 Jul 2008 - 07 Sep 2009
No
AA1226
AMERICAN EXPRESS BANK LIMITED
Type 1: dealing in securities
14 Jul 2006 - 29 Jun 2008
No
AA1226
AMERICAN EXPRESS BANK LIMITED
Type 4: advising on securities
14 Jul 2006 - 29 Jun 2008
No
AA1226
AMERICAN EXPRESS BANK LIMITED
Type 9: asset management
14 Jul 2006 - 29 Jun 2008
No
AA1226
CITIC KA WAH BANK LIMITED
Type 1: dealing in securities
12 May 2005 - 30 Jun 2006
No
AA1226
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 11 May 2005
No
AA1226
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 11 May 2005
No
AA1226
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
01 Apr 2003 - 21 Mar 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.