Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HAU, KIT LAM
Chinese Name of Relevant Individual
侯潔琳
HKMA Registration Number
AC7478
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
06 Nov 2014
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Nov 2014
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
First date of engagement
01 Sep 2019
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
First date of engagement
01 Sep 2019
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CITIBANK (HONG KONG) LIMITED
SFC CE number
AAY797
Business Address
CITI TOWER, ONE BAY EAST, NO. 83 HOI BUN ROAD, KWUN TONG, KOWLOON
Name of Registered Institution
CITIBANK, N.A.
SFC CE number
AAP937
Business Address
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
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
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 01 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 01 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 06 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 06 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Oct 2011 - 24 Jun 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Oct 2011 - 24 Jun 2013
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
31 Jan 2010 - 13 Jun 2011
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
31 Jan 2010 - 13 Jun 2011
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
20 Feb 2009 - 04 Jan 2010
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
20 Feb 2009 - 04 Jan 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
22 Jul 2008 - 18 Nov 2008
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
22 Jul 2008 - 18 Nov 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Dec 2007 - 24 Mar 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
19 Dec 2007 - 24 Mar 2008
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
29 Jul 2006 - 25 Nov 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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
HAU, KIT LAM
:
Chinese Name of Relevant Individual
侯潔琳
:
HKMA Registration Number
AC7478
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 Nov 2014
No
RELATIONSHIP MANAGER
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
06 Nov 2014
No
RELATIONSHIP MANAGER
CITIBANK, N.A.
Type 1: dealing in securities
01 Sep 2019
No
RELATIONSHIP MANAGER
CITIBANK, N.A.
Type 4: advising on securities
01 Sep 2019
No
RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
CITIBANK (HONG KONG) LIMITED
AAY797
CITI TOWER, ONE BAY EAST, NO. 83 HOI BUN ROAD, KWUN TONG, KOWLOON
CITIBANK, N.A.
AAP937
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC7478
CITIBANK, N.A.
Type 1: dealing in securities
Since 01 Sep 2019
No
AC7478
CITIBANK, N.A.
Type 4: advising on securities
Since 01 Sep 2019
No
AC7478
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 06 Nov 2014
No
AC7478
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 06 Nov 2014
No
AC7478
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Oct 2011 - 24 Jun 2013
No
AC7478
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Oct 2011 - 24 Jun 2013
No
AC7478
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
31 Jan 2010 - 13 Jun 2011
No
AC7478
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
31 Jan 2010 - 13 Jun 2011
No
AC7478
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
20 Feb 2009 - 04 Jan 2010
No
AC7478
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
20 Feb 2009 - 04 Jan 2010
No
AC7478
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
22 Jul 2008 - 18 Nov 2008
No
AC7478
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
22 Jul 2008 - 18 Nov 2008
No
AC7478
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
19 Dec 2007 - 24 Mar 2008
No
AC7478
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
19 Dec 2007 - 24 Mar 2008
No
AC7478
HANG SENG BANK, LIMITED
Type 4: advising on securities
29 Jul 2006 - 25 Nov 2007
No
AC7478
HANG SENG BANK, LIMITED
Type 1: dealing in securities
04 Nov 2005 - 25 Nov 2007
No
AC7478
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
04 Nov 2005 - 25 Nov 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.