Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, CHOR SZE CASSIE
Chinese Name of Relevant Individual
劉楚思
HKMA Registration Number
AC8968
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 JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jun 2011 - 17 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jun 2011 - 17 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
RBS COUTTS BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2008 - 21 Apr 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
RBS COUTTS BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Feb 2008 - 21 Apr 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
05 Apr 2006 - 27 Jul 2006
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
05 Apr 2006 - 27 Jul 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, CHOR SZE CASSIE
:
Chinese Name of Relevant Individual
劉楚思
:
HKMA Registration Number
AC8968
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC8968
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
07 Jun 2011 - 17 Jun 2011
No
AC8968
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
07 Jun 2011 - 17 Jun 2011
No
AC8968
RBS COUTTS BANK AG
Type 4: advising on securities
01 Sep 2008 - 21 Apr 2010
No
AC8968
RBS COUTTS BANK AG
Type 1: dealing in securities
21 Feb 2008 - 21 Apr 2010
No
AC8968
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
05 Apr 2006 - 27 Jul 2006
No
AC8968
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Apr 2006 - 27 Jul 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.