Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAU, KWOK WAI
Chinese Name of Relevant Individual
丘國煒
HKMA Registration Number
AC7169
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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jun 2025 - 23 Nov 2025
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
24 Jun 2025 - 23 Nov 2025
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
24 Jun 2025 - 23 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jul 2023 - 12 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jul 2023 - 12 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jul 2022 - 28 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Jul 2022 - 28 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
PUBLIC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Mar 2013 - 03 Jul 2022
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
10 Sep 2010 - 22 Feb 2012
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
10 Sep 2010 - 22 Feb 2012
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
11 Sep 2009 - 15 Aug 2010
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
11 Sep 2009 - 15 Aug 2010
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
11 Sep 2009 - 15 Aug 2010
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
10 Oct 2007 - 25 Jun 2009
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
08 Oct 2005 - 25 Jun 2009
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
YAU, KWOK WAI
:
Chinese Name of Relevant Individual
丘國煒
:
HKMA Registration Number
AC7169
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC7169
HANG SENG BANK, LIMITED
Type 1: dealing in securities
24 Jun 2025 - 23 Nov 2025
No
AC7169
HANG SENG BANK, LIMITED
Type 4: advising on securities
24 Jun 2025 - 23 Nov 2025
No
AC7169
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
24 Jun 2025 - 23 Nov 2025
No
AC7169
DAH SING BANK, LIMITED
Type 1: dealing in securities
04 Jul 2023 - 12 Jun 2025
No
AC7169
DAH SING BANK, LIMITED
Type 4: advising on securities
04 Jul 2023 - 12 Jun 2025
No
AC7169
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
16 Jul 2022 - 28 Dec 2022
No
AC7169
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
16 Jul 2022 - 28 Dec 2022
No
AC7169
PUBLIC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 Mar 2013 - 03 Jul 2022
No
AC7169
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
10 Sep 2010 - 22 Feb 2012
No
AC7169
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
10 Sep 2010 - 22 Feb 2012
No
AC7169
HANG SENG BANK, LIMITED
Type 1: dealing in securities
11 Sep 2009 - 15 Aug 2010
No
AC7169
HANG SENG BANK, LIMITED
Type 4: advising on securities
11 Sep 2009 - 15 Aug 2010
No
AC7169
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
11 Sep 2009 - 15 Aug 2010
No
AC7169
HANG SENG BANK, LIMITED
Type 4: advising on securities
10 Oct 2007 - 25 Jun 2009
No
AC7169
HANG SENG BANK, LIMITED
Type 1: dealing in securities
08 Oct 2005 - 25 Jun 2009
No
AC7169
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
08 Oct 2005 - 25 Jun 2009
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.