Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, YAM SHING KRIS
Chinese Name of Relevant Individual
劉任承
HKMA Registration Number
AC0638
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
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jun 2011 - 30 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jun 2011 - 30 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Apr 2008 - 09 Oct 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Apr 2008 - 09 Oct 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Oct 2005 - 08 Nov 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
05 Oct 2005 - 08 Nov 2007
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
28 Sep 2003 - 21 Jul 2005
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
28 Sep 2003 - 21 Jul 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 7: providing automated trading services
Effective Period
28 Sep 2003 - 21 Mar 2005
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, YAM SHING KRIS
:
Chinese Name of Relevant Individual
劉任承
:
HKMA Registration Number
AC0638
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0638
SUMITOMO MITSUI BANKING CORPORATION
Type 1: dealing in securities
10 Jun 2011 - 30 Sep 2021
No
AC0638
SUMITOMO MITSUI BANKING CORPORATION
Type 4: advising on securities
10 Jun 2011 - 30 Sep 2021
No
AC0638
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
18 Apr 2008 - 09 Oct 2010
No
AC0638
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
18 Apr 2008 - 09 Oct 2010
No
AC0638
SUMITOMO MITSUI BANKING CORPORATION
Type 1: dealing in securities
05 Oct 2005 - 08 Nov 2007
No
AC0638
SUMITOMO MITSUI BANKING CORPORATION
Type 4: advising on securities
05 Oct 2005 - 08 Nov 2007
No
AC0638
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
28 Sep 2003 - 21 Jul 2005
No
AC0638
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
28 Sep 2003 - 21 Jul 2005
No
AC0638
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 7: providing automated trading services
28 Sep 2003 - 21 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.