Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, SZE LAI ALICE
Chinese Name of Relevant Individual
廖詩麗
HKMA Registration Number
AC5567
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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jun 2018 - 20 May 2021
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
27 Jun 2018 - 20 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jan 2018 - 08 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jan 2018 - 08 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Dec 2015 - 28 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
29 Dec 2015 - 28 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Mar 2006 - 27 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Mar 2006 - 27 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
21 Mar 2006 - 27 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIC KA WAH BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 May 2005 - 31 Jan 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, SZE LAI ALICE
:
Chinese Name of Relevant Individual
廖詩麗
:
HKMA Registration Number
AC5567
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5567
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
27 Jun 2018 - 20 May 2021
No
AC5567
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
27 Jun 2018 - 20 May 2021
No
AC5567
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jan 2018 - 08 Apr 2018
No
AC5567
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
22 Jan 2018 - 08 Apr 2018
No
AC5567
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
29 Dec 2015 - 28 Jan 2018
No
AC5567
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
29 Dec 2015 - 28 Jan 2018
No
AC5567
HANG SENG BANK, LIMITED
Type 4: advising on securities
28 Mar 2006 - 27 Oct 2015
No
AC5567
HANG SENG BANK, LIMITED
Type 1: dealing in securities
21 Mar 2006 - 27 Oct 2015
No
AC5567
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
21 Mar 2006 - 27 Oct 2015
No
AC5567
CITIC KA WAH BANK LIMITED
Type 1: dealing in securities
05 May 2005 - 31 Jan 2006
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.