Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, YAT FAI
Chinese Name of Relevant Individual
廖一暉
HKMA Registration Number
AA1541
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
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jan 2015 - 01 Jan 2025
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
27 Jan 2015 - 01 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Sep 2009 - 01 Jan 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
RBS COUTTS BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2008 - 31 Jan 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
RBS COUTTS BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Mar 2008 - 31 Jan 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
RBS COUTTS BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Mar 2007 - 12 Mar 2008
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 Jun 2006 - 28 Feb 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
20 Jun 2006 - 28 Feb 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
01 Apr 2003 - 31 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 - 31 Aug 2003
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
LIU, YAT FAI
:
Chinese Name of Relevant Individual
廖一暉
:
HKMA Registration Number
AA1541
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1541
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 Jan 2015 - 01 Jan 2025
No
AA1541
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
27 Jan 2015 - 01 Jan 2025
No
AA1541
EFG BANK AG
Type 1: dealing in securities
10 Sep 2009 - 01 Jan 2015
No
AA1541
RBS COUTTS BANK AG
Type 4: advising on securities
01 Sep 2008 - 31 Jan 2009
No
AA1541
RBS COUTTS BANK AG
Type 1: dealing in securities
19 Mar 2008 - 31 Jan 2009
No
AA1541
RBS COUTTS BANK AG
Type 1: dealing in securities
02 Mar 2007 - 12 Mar 2008
No
AA1541
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Jun 2006 - 28 Feb 2007
No
AA1541
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Jun 2006 - 28 Feb 2007
No
AA1541
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 31 Aug 2003
No
AA1541
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 31 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.