Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, LUK POR
Chinese Name of Relevant Individual
廖淥波
HKMA Registration Number
AC5166
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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
22 Nov 2013 - 27 Jan 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
31 May 2013 - 27 Jan 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2013 - 27 Jan 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
27 Nov 2012 - 21 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Nov 2012 - 30 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Nov 2012 - 30 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
02 Aug 2011 - 12 Aug 2012
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
02 Aug 2011 - 12 Aug 2012
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Sep 2007 - 01 Aug 2011
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
12 Sep 2007 - 01 Aug 2011
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
15 May 2007 - 09 Sep 2007
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
15 May 2007 - 09 Sep 2007
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
15 May 2007 - 09 Sep 2007
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Mar 2005 - 14 May 2007
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
25 Mar 2005 - 14 May 2007
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
LIU, LUK POR
:
Chinese Name of Relevant Individual
廖淥波
:
HKMA Registration Number
AC5166
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5166
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 9: asset management
22 Nov 2013 - 27 Jan 2017
Yes
AC5166
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
31 May 2013 - 27 Jan 2017
Yes
AC5166
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
31 May 2013 - 27 Jan 2017
Yes
AC5166
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 9: asset management
27 Nov 2012 - 21 Nov 2013
No
AC5166
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 Nov 2012 - 30 May 2013
No
AC5166
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
27 Nov 2012 - 30 May 2013
No
AC5166
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
02 Aug 2011 - 12 Aug 2012
Yes
AC5166
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
02 Aug 2011 - 12 Aug 2012
Yes
AC5166
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
12 Sep 2007 - 01 Aug 2011
No
AC5166
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
12 Sep 2007 - 01 Aug 2011
No
AC5166
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
15 May 2007 - 09 Sep 2007
Yes
AC5166
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
15 May 2007 - 09 Sep 2007
Yes
AC5166
DBS BANK (HONG KONG) LIMITED
Type 9: asset management
15 May 2007 - 09 Sep 2007
Yes
AC5166
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
25 Mar 2005 - 14 May 2007
No
AC5166
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
25 Mar 2005 - 14 May 2007
No
AC5166
DBS BANK (HONG KONG) LIMITED
Type 9: asset management
25 Mar 2005 - 14 May 2007
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.