Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, YI HAR MANDY
Chinese Name of Relevant Individual
劉綺霞
HKMA Registration Number
AA2799
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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Nov 2014 - 30 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
05 Nov 2014 - 30 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Dec 2010 - 02 Oct 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
11 Dec 2010 - 02 Oct 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Dec 2009 - 29 Aug 2010
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
09 Apr 2009 - 03 Sep 2009
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
09 Apr 2009 - 03 Sep 2009
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
02 Apr 2005 - 30 Nov 2008
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
02 Apr 2005 - 30 Nov 2008
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
21 Jul 2003 - 29 Mar 2005
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
21 Jul 2003 - 29 Mar 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
21 Jul 2003 - 21 Mar 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS KWONG ON BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 20 Jul 2003
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS KWONG ON BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 20 Jul 2003
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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, YI HAR MANDY
:
Chinese Name of Relevant Individual
劉綺霞
:
HKMA Registration Number
AA2799
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2799
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
05 Nov 2014 - 30 Sep 2023
No
AA2799
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
05 Nov 2014 - 30 Sep 2023
No
AA2799
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
11 Dec 2010 - 02 Oct 2014
No
AA2799
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
11 Dec 2010 - 02 Oct 2014
No
AA2799
CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
17 Dec 2009 - 29 Aug 2010
No
AA2799
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
09 Apr 2009 - 03 Sep 2009
No
AA2799
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
09 Apr 2009 - 03 Sep 2009
No
AA2799
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
02 Apr 2005 - 30 Nov 2008
No
AA2799
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
02 Apr 2005 - 30 Nov 2008
No
AA2799
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Jul 2003 - 29 Mar 2005
No
AA2799
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Jul 2003 - 29 Mar 2005
No
AA2799
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
21 Jul 2003 - 21 Mar 2005
No
AA2799
DBS KWONG ON BANK, LIMITED
Type 1: dealing in securities
01 Apr 2003 - 20 Jul 2003
No
AA2799
DBS KWONG ON BANK, LIMITED
Type 4: advising on securities
01 Apr 2003 - 20 Jul 2003
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.