Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, MAN FONG ERITA
Chinese Name of Relevant Individual
劉文芳
HKMA Registration Number
AD0124
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
23 Dec 2017 - 28 Apr 2023
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
23 Dec 2017 - 28 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2016 - 08 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2016 - 08 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
05 May 2016 - 23 Aug 2016
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
05 May 2016 - 23 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Feb 2015 - 15 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
02 Feb 2015 - 15 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2014 - 29 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
01 Sep 2014 - 29 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
25 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Nov 2013 - 25 Aug 2014
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 Nov 2013 - 25 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jul 2006 - 11 Jul 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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, MAN FONG ERITA
:
Chinese Name of Relevant Individual
劉文芳
:
HKMA Registration Number
AD0124
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AD0124
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
23 Dec 2017 - 28 Apr 2023
No
AD0124
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
23 Dec 2017 - 28 Apr 2023
No
AD0124
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Sep 2016 - 08 Dec 2017
No
AD0124
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Sep 2016 - 08 Dec 2017
No
AD0124
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
05 May 2016 - 23 Aug 2016
No
AD0124
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
05 May 2016 - 23 Aug 2016
No
AD0124
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
02 Feb 2015 - 15 Apr 2016
No
AD0124
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
02 Feb 2015 - 15 Apr 2016
No
AD0124
BANK MORGAN STANLEY AG
Type 1: dealing in securities
01 Sep 2014 - 29 May 2015
No
AD0124
BANK MORGAN STANLEY AG
Type 2: dealing in futures contracts
01 Sep 2014 - 29 May 2015
No
AD0124
BANK MORGAN STANLEY AG
Type 1: dealing in securities
25 Aug 2014
No
AD0124
BANK MORGAN STANLEY AG
Type 2: dealing in futures contracts
25 Aug 2014
No
AD0124
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
07 Nov 2013 - 25 Aug 2014
No
AD0124
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
07 Nov 2013 - 25 Aug 2014
No
AD0124
UBS AG
Type 1: dealing in securities
15 Jul 2006 - 11 Jul 2011
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.