Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, TIN WAI
Chinese Name of Relevant Individual
區天偉
HKMA Registration Number
AC9426
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
MACQUARIE BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jan 2013 - 30 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MACQUARIE BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jan 2013 - 30 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Dec 2010 - 29 Jun 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Aug 2009 - 29 Jun 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 May 2006 - 22 Jul 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 May 2006 - 22 Jul 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
22 May 2006 - 22 Jul 2009
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
AU, TIN WAI
:
Chinese Name of Relevant Individual
區天偉
:
HKMA Registration Number
AC9426
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9426
MACQUARIE BANK LIMITED
Type 1: dealing in securities
14 Jan 2013 - 30 Nov 2020
No
AC9426
MACQUARIE BANK LIMITED
Type 4: advising on securities
14 Jan 2013 - 30 Nov 2020
No
AC9426
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
03 Dec 2010 - 29 Jun 2012
No
AC9426
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
17 Aug 2009 - 29 Jun 2012
No
AC9426
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
22 May 2006 - 22 Jul 2009
No
AC9426
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
22 May 2006 - 22 Jul 2009
No
AC9426
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
22 May 2006 - 22 Jul 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.