Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, SHUK YAN CATHERINE
Chinese Name of Relevant Individual
區淑欣
HKMA Registration Number
AA1858
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
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jun 2008 - 13 Mar 2015
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
04 Jun 2008 - 13 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Oct 2005 - 13 Mar 2015
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 - 13 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, SHUK YAN CATHERINE
:
Chinese Name of Relevant Individual
區淑欣
:
HKMA Registration Number
AA1858
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1858
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
06 Jun 2008 - 13 Mar 2015
No
AA1858
CITIBANK, N.A.
Type 4: advising on securities
04 Jun 2008 - 13 Mar 2015
No
AA1858
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
01 Oct 2005 - 13 Mar 2015
No
AA1858
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 13 Mar 2015
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.