Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, PAK SZE
Chinese Name of Relevant Individual
歐柏斯
HKMA Registration Number
AA1859
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
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Sep 2021 - 09 Aug 2022
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
08 Sep 2021 - 09 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Feb 2015 - 15 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
02 Feb 2015 - 15 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jun 2014 - 29 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
07 Jun 2014 - 29 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Feb 2012 - 06 Jun 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
02 Feb 2012 - 06 Jun 2014
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
15 Aug 2005 - 14 Jul 2008
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
15 Aug 2005 - 14 Jul 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
01 Jul 2005 - 12 Aug 2005
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 - 12 Aug 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
02 Jun 2005 - 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
02 Jun 2005 - 06 Jul 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 - 26 May 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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, PAK SZE
:
Chinese Name of Relevant Individual
歐柏斯
:
HKMA Registration Number
AA1859
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1859
CREDIT SUISSE AG
Type 1: dealing in securities
08 Sep 2021 - 09 Aug 2022
No
AA1859
CREDIT SUISSE AG
Type 4: advising on securities
08 Sep 2021 - 09 Aug 2022
No
AA1859
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
02 Feb 2015 - 15 Aug 2017
No
AA1859
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
02 Feb 2015 - 15 Aug 2017
No
AA1859
BANK MORGAN STANLEY AG
Type 1: dealing in securities
07 Jun 2014 - 29 May 2015
No
AA1859
BANK MORGAN STANLEY AG
Type 2: dealing in futures contracts
07 Jun 2014 - 29 May 2015
No
AA1859
BANK MORGAN STANLEY AG
Type 1: dealing in securities
02 Feb 2012 - 06 Jun 2014
No
AA1859
BANK MORGAN STANLEY AG
Type 2: dealing in futures contracts
02 Feb 2012 - 06 Jun 2014
No
AA1859
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
15 Aug 2005 - 14 Jul 2008
No
AA1859
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
15 Aug 2005 - 14 Jul 2008
No
AA1859
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 12 Aug 2005
No
AA1859
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 12 Aug 2005
No
AA1859
CITIBANK, N.A.
Type 1: dealing in securities
02 Jun 2005 - 06 Jul 2005
No
AA1859
CITIBANK, N.A.
Type 4: advising on securities
02 Jun 2005 - 06 Jul 2005
No
AA1859
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 26 May 2005
No
AA1859
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 26 May 2005
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.