Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAI, YUEN MAN
Chinese Name of Relevant Individual
黎婉雯
HKMA Registration Number
AC5063
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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jul 2017 - 19 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
11 Jul 2017 - 19 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jul 2017 - 19 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
11 Jul 2017 - 19 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Aug 2013 - 02 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 May 2012 - 23 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 May 2012 - 23 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Sep 2011 - 15 Mar 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
09 Sep 2011 - 15 Mar 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2007 - 22 Aug 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2007 - 22 Aug 2010
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
17 Mar 2005 - 18 Sep 2007
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
17 Mar 2005 - 18 Sep 2007
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
17 Mar 2005 - 21 Mar 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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, YUEN MAN
:
Chinese Name of Relevant Individual
黎婉雯
:
HKMA Registration Number
AC5063
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5063
LGT BANK AG
Type 1: dealing in securities
11 Jul 2017 - 19 Nov 2021
No
AC5063
LGT BANK AG
Type 2: dealing in futures contracts
11 Jul 2017 - 19 Nov 2021
No
AC5063
LGT BANK AG
Type 4: advising on securities
11 Jul 2017 - 19 Nov 2021
No
AC5063
LGT BANK AG
Type 5: advising on futures contracts
11 Jul 2017 - 19 Nov 2021
No
AC5063
UBS AG
Type 1: dealing in securities
28 Aug 2013 - 02 Jun 2017
No
AC5063
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
29 May 2012 - 23 May 2013
No
AC5063
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
29 May 2012 - 23 May 2013
No
AC5063
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
09 Sep 2011 - 15 Mar 2012
No
AC5063
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
09 Sep 2011 - 15 Mar 2012
No
AC5063
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
01 Sep 2007 - 22 Aug 2010
No
AC5063
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
01 Sep 2007 - 22 Aug 2010
No
AC5063
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
17 Mar 2005 - 18 Sep 2007
No
AC5063
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
17 Mar 2005 - 18 Sep 2007
No
AC5063
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 7: providing automated trading services
17 Mar 2005 - 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.