Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, HO FAI
Chinese Name of Relevant Individual
劉皓暉
HKMA Registration Number
AA1623
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
08 Jun 2020
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING STAFF
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
08 Jun 2020
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING STAFF
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A DES VOEUX 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 08 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 08 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jun 2019 - 29 Nov 2019
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
29 Jun 2019 - 29 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jan 2016 - 30 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2013 - 31 Dec 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
01 Nov 2013 - 31 Dec 2015
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
17 May 2010 - 01 Nov 2013
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
17 May 2010 - 01 Nov 2013
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
28 May 2007 - 14 May 2010
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
28 May 2007 - 14 May 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 - 30 May 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 - 30 May 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 - 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
01 Apr 2003 - 06 Jul 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 20
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
LAU, HO FAI
:
Chinese Name of Relevant Individual
劉皓暉
:
HKMA Registration Number
AA1623
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Jun 2020
No
PRIVATE BANKING STAFF
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Jun 2020
No
PRIVATE BANKING STAFF
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1623
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 08 Jun 2020
No
AA1623
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 08 Jun 2020
No
AA1623
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
29 Jun 2019 - 29 Nov 2019
No
AA1623
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
29 Jun 2019 - 29 Nov 2019
No
AA1623
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
22 Jan 2016 - 30 Apr 2019
No
AA1623
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Nov 2013 - 31 Dec 2015
No
AA1623
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Nov 2013 - 31 Dec 2015
No
AA1623
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
17 May 2010 - 01 Nov 2013
No
AA1623
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
17 May 2010 - 01 Nov 2013
No
AA1623
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 May 2007 - 14 May 2010
No
AA1623
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 May 2007 - 14 May 2010
No
AA1623
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 30 May 2007
No
AA1623
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 30 May 2007
No
AA1623
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 06 Jul 2005
No
AA1623
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 06 Jul 2005
No
AA1623
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Aug 2004 - 31 Mar 2005
No
AA1623
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Aug 2004 - 31 Mar 2005
No
AA1623
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
02 Apr 2004 - 12 Aug 2004
No
AA1623
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
02 Apr 2004 - 12 Aug 2004
No
AA1623
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 7: providing automated trading services
02 Apr 2004 - 12 Aug 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.