Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAI, WAI TSUN PAUL
Chinese Name of Relevant Individual
賴維津
HKMA Registration Number
AC0044
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
WESTPAC BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jun 2018 - 05 Nov 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
WESTPAC BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jun 2018 - 05 Nov 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Feb 2013 - 31 Dec 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Feb 2013 - 31 Dec 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Feb 2013 - 31 Dec 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Aug 2012 - 31 Jan 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Regulated Activity
Type 4: advising on securities
Effective Period
31 Aug 2012 - 31 Jan 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
31 Aug 2012 - 31 Jan 2013
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
21 Dec 2006 - 31 Jan 2008
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
21 Dec 2006 - 31 Jan 2008
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
21 Dec 2006 - 31 Jan 2008
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Apr 2005 - 20 Dec 2006
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
15 Apr 2005 - 20 Dec 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
15 Apr 2005 - 20 Dec 2006
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 - 29 Mar 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
LAI, WAI TSUN PAUL
:
Chinese Name of Relevant Individual
賴維津
:
HKMA Registration Number
AC0044
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0044
WESTPAC BANKING CORPORATION
Type 1: dealing in securities
22 Jun 2018 - 05 Nov 2021
Yes
AC0044
WESTPAC BANKING CORPORATION
Type 4: advising on securities
22 Jun 2018 - 05 Nov 2021
Yes
AC0044
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Type 1: dealing in securities
01 Feb 2013 - 31 Dec 2016
Yes
AC0044
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Type 4: advising on securities
01 Feb 2013 - 31 Dec 2016
Yes
AC0044
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Type 6: advising on corporate finance
01 Feb 2013 - 31 Dec 2016
Yes
AC0044
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Type 1: dealing in securities
31 Aug 2012 - 31 Jan 2013
No
AC0044
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Type 4: advising on securities
31 Aug 2012 - 31 Jan 2013
No
AC0044
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Type 6: advising on corporate finance
31 Aug 2012 - 31 Jan 2013
No
AC0044
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
21 Dec 2006 - 31 Jan 2008
Yes
AC0044
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
21 Dec 2006 - 31 Jan 2008
Yes
AC0044
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
21 Dec 2006 - 31 Jan 2008
Yes
AC0044
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
15 Apr 2005 - 20 Dec 2006
No
AC0044
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
15 Apr 2005 - 20 Dec 2006
No
AC0044
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
15 Apr 2005 - 20 Dec 2006
No
AC0044
UBS AG
Type 4: advising on securities
09 Jun 2003 - 29 Mar 2005
No
AC0044
UBS AG
Type 6: advising on corporate finance
09 Jun 2003 - 29 Mar 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.