Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, YAN KI PATRICIA
Chinese Name of Relevant Individual
劉恩琪
HKMA Registration Number
AC0042
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
17 Jun 2019 - 02 Dec 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
17 Jun 2019 - 02 Dec 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jan 2019 - 16 Jun 2019
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
17 Jan 2019 - 16 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Oct 2005 - 20 Apr 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Oct 2005 - 16 Oct 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jun 2003 - 27 Jul 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jun 2003 - 27 Jul 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
09 Jun 2003 - 27 Jul 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, YAN KI PATRICIA
:
Chinese Name of Relevant Individual
劉恩琪
:
HKMA Registration Number
AC0042
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0042
CREDIT SUISSE AG
Type 1: dealing in securities
17 Jun 2019 - 02 Dec 2019
Yes
AC0042
CREDIT SUISSE AG
Type 4: advising on securities
17 Jun 2019 - 02 Dec 2019
Yes
AC0042
CREDIT SUISSE AG
Type 1: dealing in securities
17 Jan 2019 - 16 Jun 2019
No
AC0042
CREDIT SUISSE AG
Type 4: advising on securities
17 Jan 2019 - 16 Jun 2019
No
AC0042
UBS AG
Type 1: dealing in securities
20 Oct 2005 - 20 Apr 2009
No
AC0042
UBS AG
Type 1: dealing in securities
15 Oct 2005 - 16 Oct 2005
No
AC0042
UBS AG
Type 1: dealing in securities
09 Jun 2003 - 27 Jul 2004
No
AC0042
UBS AG
Type 4: advising on securities
09 Jun 2003 - 27 Jul 2004
No
AC0042
UBS AG
Type 6: advising on corporate finance
09 Jun 2003 - 27 Jul 2004
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.