Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SIU, PUI KAY, RUBY
Chinese Name of Relevant Individual
蕭珮琪
HKMA Registration Number
AD0086
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
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jul 2011 - 01 Feb 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
19 Jul 2011 - 01 Feb 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 1: dealing in securities
Effective Period
23 May 2007 - 14 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 4: advising on securities
Effective Period
23 May 2007 - 14 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Apr 2007 - 14 May 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 4: advising on securities
Effective Period
24 Apr 2007 - 14 May 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jul 2006 - 14 Sep 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
12 Jul 2006 - 14 Sep 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
SIU, PUI KAY, RUBY
:
Chinese Name of Relevant Individual
蕭珮琪
:
HKMA Registration Number
AD0086
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AD0086
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
19 Jul 2011 - 01 Feb 2013
No
AD0086
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
19 Jul 2011 - 01 Feb 2013
No
AD0086
COMMONWEALTH BANK OF AUSTRALIA
Type 1: dealing in securities
23 May 2007 - 14 Jun 2011
No
AD0086
COMMONWEALTH BANK OF AUSTRALIA
Type 4: advising on securities
23 May 2007 - 14 Jun 2011
No
AD0086
COMMONWEALTH BANK OF AUSTRALIA
Type 1: dealing in securities
24 Apr 2007 - 14 May 2007
No
AD0086
COMMONWEALTH BANK OF AUSTRALIA
Type 4: advising on securities
24 Apr 2007 - 14 May 2007
No
AD0086
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
12 Jul 2006 - 14 Sep 2006
No
AD0086
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
12 Jul 2006 - 14 Sep 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.