Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, HAU LAI
Chinese Name of Relevant Individual
黃巧麗
HKMA Registration Number
AA1377
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Feb 2020
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Feb 2020
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK J. SAFRA SARASIN AG
SFC CE number
AHX499
Business Address
40/F, EDINBURGH TOWER, THE LANDMARK, 15 QUEEN'S ROAD CENTRAL, HONG KONG.
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 J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 28 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 28 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jul 2017 - 21 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
15 Jul 2017 - 21 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Aug 2011 - 03 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Aug 2011 - 03 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Dec 2010 - 17 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Dec 2010 - 17 Jun 2011
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 Jun 2010 - 15 Jul 2010
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 Jun 2010 - 15 Jul 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Oct 2009 - 31 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jun 2006 - 23 Apr 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jun 2006 - 23 Apr 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2005 - 25 May 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jul 2005 - 25 May 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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
WONG, HAU LAI
:
Chinese Name of Relevant Individual
黃巧麗
:
HKMA Registration Number
AA1377
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
28 Feb 2020
No
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
28 Feb 2020
No
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
BANK J. SAFRA SARASIN AG
AHX499
40/F, EDINBURGH TOWER, THE LANDMARK, 15 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1377
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
Since 28 Feb 2020
No
AA1377
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
Since 28 Feb 2020
No
AA1377
BNP PARIBAS
Type 1: dealing in securities
15 Jul 2017 - 21 Feb 2020
No
AA1377
BNP PARIBAS
Type 4: advising on securities
15 Jul 2017 - 21 Feb 2020
No
AA1377
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Aug 2011 - 03 Jul 2017
No
AA1377
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Aug 2011 - 03 Jul 2017
No
AA1377
DAH SING BANK, LIMITED
Type 1: dealing in securities
03 Dec 2010 - 17 Jun 2011
No
AA1377
DAH SING BANK, LIMITED
Type 4: advising on securities
03 Dec 2010 - 17 Jun 2011
No
AA1377
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
01 Jun 2010 - 15 Jul 2010
No
AA1377
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
01 Jun 2010 - 15 Jul 2010
No
AA1377
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 Oct 2009 - 31 Mar 2010
No
AA1377
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
06 Jun 2006 - 23 Apr 2009
No
AA1377
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
06 Jun 2006 - 23 Apr 2009
No
AA1377
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 25 May 2006
No
AA1377
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 25 May 2006
No
AA1377
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 06 Jul 2005
No
AA1377
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 06 Jul 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.