Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, YAN KEI AMY
Chinese Name of Relevant Individual
HKMA Registration Number
AA1857
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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jan 2015 - 04 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
15 Jan 2015 - 04 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
15 Jan 2015 - 04 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
15 Jan 2015 - 04 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BSI LTD
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Mar 2012 - 06 Jan 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BSI LTD
Regulated Activity
Type 4: advising on securities
Effective Period
12 Mar 2012 - 06 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 - 07 Aug 2011
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
29 Jan 2008 - 07 Aug 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS BANK VON ERNST AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 May 2005 - 20 Jan 2008
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
19 Apr 2004 - 05 May 2005
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
19 Apr 2004 - 05 May 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 - 18 Apr 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 - 18 Apr 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
AU, YAN KEI AMY
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AA1857
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1857
LGT BANK AG
Type 1: dealing in securities
15 Jan 2015 - 04 Jul 2017
No
AA1857
LGT BANK AG
Type 2: dealing in futures contracts
15 Jan 2015 - 04 Jul 2017
No
AA1857
LGT BANK AG
Type 4: advising on securities
15 Jan 2015 - 04 Jul 2017
No
AA1857
LGT BANK AG
Type 5: advising on futures contracts
15 Jan 2015 - 04 Jul 2017
No
AA1857
BSI LTD
Type 1: dealing in securities
12 Mar 2012 - 06 Jan 2015
No
AA1857
BSI LTD
Type 4: advising on securities
12 Mar 2012 - 06 Jan 2015
No
AA1857
RBS COUTTS BANK AG
Type 4: advising on securities
01 Sep 2008 - 07 Aug 2011
No
AA1857
RBS COUTTS BANK AG
Type 1: dealing in securities
29 Jan 2008 - 07 Aug 2011
No
AA1857
COUTTS BANK VON ERNST AG
Type 1: dealing in securities
11 May 2005 - 20 Jan 2008
No
AA1857
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
19 Apr 2004 - 05 May 2005
No
AA1857
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
19 Apr 2004 - 05 May 2005
No
AA1857
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 18 Apr 2004
No
AA1857
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 18 Apr 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.