Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAI LAU, LE THY
Chinese Name of Relevant Individual
黎劉麗絲
HKMA Registration Number
AA1621
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
01 Nov 2023
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT RELATIONSHIP OFFICER
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
01 Nov 2023
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT RELATIONSHIP OFFICER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
EFG BANK AG
SFC CE number
AFV863
Business Address
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
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
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 01 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 01 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Dec 2014 - 25 Aug 2023
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
04 Dec 2014 - 25 Aug 2023
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 - 10 Nov 2014
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 - 10 Nov 2014
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
26 Jun 2004 - 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
26 Jun 2004 - 06 Jul 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jun 2004 - 27 Jun 2004
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 - 03 Jun 2004
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 - 03 Jun 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
LAI LAU, LE THY
:
Chinese Name of Relevant Individual
黎劉麗絲
:
HKMA Registration Number
AA1621
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
EFG BANK AG
Type 1: dealing in securities
01 Nov 2023
No
CLIENT RELATIONSHIP OFFICER
EFG BANK AG
Type 4: advising on securities
01 Nov 2023
No
CLIENT RELATIONSHIP OFFICER
Name of Registered Institution
SFC CE number
Business Address
EFG BANK AG
AFV863
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1621
EFG BANK AG
Type 1: dealing in securities
Since 01 Nov 2023
No
AA1621
EFG BANK AG
Type 4: advising on securities
Since 01 Nov 2023
No
AA1621
CREDIT SUISSE AG
Type 1: dealing in securities
04 Dec 2014 - 25 Aug 2023
No
AA1621
CREDIT SUISSE AG
Type 4: advising on securities
04 Dec 2014 - 25 Aug 2023
No
AA1621
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 10 Nov 2014
No
AA1621
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 10 Nov 2014
No
AA1621
CITIBANK, N.A.
Type 1: dealing in securities
26 Jun 2004 - 06 Jul 2005
No
AA1621
CITIBANK, N.A.
Type 4: advising on securities
26 Jun 2004 - 06 Jul 2005
No
AA1621
ABN AMRO BANK N.V.
Type 1: dealing in securities
16 Jun 2004 - 27 Jun 2004
No
AA1621
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 03 Jun 2004
No
AA1621
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 03 Jun 2004
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.