Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAI, KWOK WAH
Chinese Name of Relevant Individual
黎國華
HKMA Registration Number
AA2819
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 COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jul 2015 - 15 May 2018
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
08 Jul 2015 - 15 May 2018
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
03 Jun 2010 - 27 May 2015
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Jun 2010 - 27 May 2015
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
03 Jun 2010 - 27 May 2015
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
10 May 2006 - 27 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
10 May 2006 - 27 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
10 May 2006 - 27 May 2015
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 - 02 Jun 2010
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 - 02 Jun 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
21 Jul 2003 - 02 Jun 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
21 Jul 2003 - 28 Apr 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: 1-15 of 17
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
LAI, KWOK WAH
:
Chinese Name of Relevant Individual
黎國華
:
HKMA Registration Number
AA2819
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2819
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
08 Jul 2015 - 15 May 2018
No
AA2819
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
08 Jul 2015 - 15 May 2018
No
AA2819
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Jun 2010 - 27 May 2015
Yes
AA2819
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Jun 2010 - 27 May 2015
Yes
AA2819
DBS BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
03 Jun 2010 - 27 May 2015
Yes
AA2819
DBS BANK LTD.
Type 1: dealing in securities
10 May 2006 - 27 May 2015
No
AA2819
DBS BANK LTD.
Type 4: advising on securities
10 May 2006 - 27 May 2015
No
AA2819
DBS BANK LTD.
Type 6: advising on corporate finance
10 May 2006 - 27 May 2015
No
AA2819
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Jul 2003 - 02 Jun 2010
No
AA2819
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Jul 2003 - 02 Jun 2010
No
AA2819
DBS BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
21 Jul 2003 - 02 Jun 2010
No
AA2819
DBS BANK (HONG KONG) LIMITED
Type 9: asset management
21 Jul 2003 - 28 Apr 2005
No
AA2819
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
21 Jul 2003 - 21 Mar 2005
No
AA2819
DBS KWONG ON BANK, LIMITED
Type 1: dealing in securities
01 Apr 2003 - 20 Jul 2003
No
AA2819
DBS KWONG ON BANK, LIMITED
Type 4: advising on securities
01 Apr 2003 - 20 Jul 2003
No
AA2819
DBS KWONG ON BANK, LIMITED
Type 6: advising on corporate finance
01 Apr 2003 - 20 Jul 2003
No
AA2819
DBS KWONG ON BANK, LIMITED
Type 9: asset management
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.