Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, WAI MAN
Chinese Name of Relevant Individual
歐蕙敏
HKMA Registration Number
AC0225
Other HKMA Registration Number(s)
AC9690
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
13 May 2023
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
13 May 2023
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
SFC CE number
AAJ165
Business Address
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
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
Since 13 May 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
Since 13 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Feb 2021 - 09 Nov 2022
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
18 Feb 2021 - 09 Nov 2022
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
30 Jan 2010 - 22 Jan 2021
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
30 Jan 2010 - 22 Jan 2021
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
12 Jun 2006 - 13 Sep 2009
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
12 Jun 2006 - 13 Sep 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
11 Feb 2006 - 19 Mar 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2005 - 13 Oct 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jul 2005 - 13 Oct 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Jun 2005 - 07 Jul 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
02 Jun 2005 - 07 Jul 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Mar 2004 - 26 May 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
09 Mar 2004 - 26 May 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 19
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
AU, WAI MAN
:
Chinese Name of Relevant Individual
歐蕙敏
:
HKMA Registration Number
AC0225
:
Other HKMA Registration Number(s)
AC9690
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
13 May 2023
No
DIRECTOR
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
13 May 2023
No
DIRECTOR
Name of Registered Institution
SFC CE number
Business Address
BANK OF EAST ASIA, LIMITED (THE)
AAJ165
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0225
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
Since 13 May 2023
No
AC0225
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
Since 13 May 2023
No
AC0225
CREDIT SUISSE AG
Type 1: dealing in securities
18 Feb 2021 - 09 Nov 2022
No
AC0225
CREDIT SUISSE AG
Type 4: advising on securities
18 Feb 2021 - 09 Nov 2022
No
AC0225
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
30 Jan 2010 - 22 Jan 2021
No
AC0225
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
30 Jan 2010 - 22 Jan 2021
No
AC9690
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
12 Jun 2006 - 13 Sep 2009
No
AC9690
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
12 Jun 2006 - 13 Sep 2009
No
AC0225
UBS AG
Type 1: dealing in securities
11 Feb 2006 - 19 Mar 2006
No
AC0225
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 13 Oct 2005
No
AC0225
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 13 Oct 2005
No
AC0225
CITIBANK, N.A.
Type 1: dealing in securities
02 Jun 2005 - 07 Jul 2005
No
AC0225
CITIBANK, N.A.
Type 4: advising on securities
02 Jun 2005 - 07 Jul 2005
No
AC0225
CITIBANK, N.A.
Type 1: dealing in securities
09 Mar 2004 - 26 May 2005
No
AC0225
CITIBANK, N.A.
Type 4: advising on securities
09 Mar 2004 - 26 May 2005
No
AC0225
DAH SING BANK, LIMITED
Type 1: dealing in securities
30 Dec 2003 - 04 Jan 2004
No
AC0225
DAH SING BANK, LIMITED
Type 4: advising on securities
30 Dec 2003 - 04 Jan 2004
No
AC0225
DAH SING BANK, LIMITED
Type 7: providing automated trading services
30 Dec 2003 - 04 Jan 2004
No
AC0225
STANDARD CHARTERED BANK
Type 1: dealing in securities
05 Jul 2003 - 31 Oct 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.