Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SIU, LAI YIN
Chinese Name of Relevant Individual
蕭禮賢
HKMA Registration Number
AA1447
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
13 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
FIRST VICE PRESIDENT
Remarks
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
13 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
FIRST VICE PRESIDENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UNITED OVERSEAS BANK LIMITED
SFC CE number
AAK840
Business Address
28/F, CHAMPION TOWER, 3 GARDEN 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
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 13 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 13 Oct 2023
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
09 Sep 2017 - 10 Sep 2023
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
09 Sep 2017 - 10 Sep 2023
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
20 Mar 2010 - 08 Sep 2017
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
20 Mar 2010 - 08 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
15 Sep 2007 - 22 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jul 2007 - 22 Mar 2010
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 - 27 Jun 2007
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 - 27 Jun 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Sep 2003 - 06 Jul 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
03 Sep 2003 - 06 Jul 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 28 Aug 2003
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 28 Aug 2003
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
SIU, LAI YIN
:
Chinese Name of Relevant Individual
蕭禮賢
:
HKMA Registration Number
AA1447
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UNITED OVERSEAS BANK LIMITED
Type 1: dealing in securities
13 Oct 2023
No
FIRST VICE PRESIDENT
UNITED OVERSEAS BANK LIMITED
Type 4: advising on securities
13 Oct 2023
No
FIRST VICE PRESIDENT
Name of Registered Institution
SFC CE number
Business Address
UNITED OVERSEAS BANK LIMITED
AAK840
28/F, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1447
UNITED OVERSEAS BANK LIMITED
Type 1: dealing in securities
Since 13 Oct 2023
No
AA1447
UNITED OVERSEAS BANK LIMITED
Type 4: advising on securities
Since 13 Oct 2023
No
AA1447
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Sep 2017 - 10 Sep 2023
No
AA1447
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Sep 2017 - 10 Sep 2023
No
AA1447
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
20 Mar 2010 - 08 Sep 2017
No
AA1447
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
20 Mar 2010 - 08 Sep 2017
No
AA1447
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 4: advising on securities
15 Sep 2007 - 22 Mar 2010
No
AA1447
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
16 Jul 2007 - 22 Mar 2010
No
AA1447
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 27 Jun 2007
No
AA1447
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 27 Jun 2007
No
AA1447
CITIBANK, N.A.
Type 1: dealing in securities
03 Sep 2003 - 06 Jul 2005
No
AA1447
CITIBANK, N.A.
Type 4: advising on securities
03 Sep 2003 - 06 Jul 2005
No
AA1447
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 28 Aug 2003
No
AA1447
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 28 Aug 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.