Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, WAI SUM
Chinese Name of Relevant Individual
劉偉森
HKMA Registration Number
AA2401
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
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Feb 2009 - 19 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Oct 2005 - 19 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BELGIAN BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 09 Oct 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BELGIAN BANK
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 17 Jan 2005
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
LAU, WAI SUM
:
Chinese Name of Relevant Individual
劉偉森
:
HKMA Registration Number
AA2401
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2401
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
11 Feb 2009 - 19 Aug 2024
No
AA2401
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
10 Oct 2005 - 19 Aug 2024
No
AA2401
BELGIAN BANK
Type 1: dealing in securities
01 Apr 2003 - 09 Oct 2005
No
AA2401
BELGIAN BANK
Type 7: providing automated trading services
01 Apr 2003 - 17 Jan 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.