Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, SUK PIK CLIO
Chinese Name of Relevant Individual
劉淑碧
HKMA Registration Number
AC6940
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
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jan 2007 - 08 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jan 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2005 - 03 Dec 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Sep 2005 - 03 Dec 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, SUK PIK CLIO
:
Chinese Name of Relevant Individual
劉淑碧
:
HKMA Registration Number
AC6940
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6940
UBS AG
Type 1: dealing in securities
26 Jan 2007 - 08 May 2026
No
AC6940
ABN AMRO BANK N.V.
Type 1: dealing in securities
04 Jan 2007
No
AC6940
BANK OF AMERICA (ASIA) LIMITED
Type 1: dealing in securities
16 Sep 2005 - 03 Dec 2006
No
AC6940
BANK OF AMERICA (ASIA) LIMITED
Type 4: advising on securities
16 Sep 2005 - 03 Dec 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.