Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, KWOK WING
Chinese Name of Relevant Individual
劉國榮
HKMA Registration Number
AF1263
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
20 Oct 2021
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT, INVESTMENT SPECIALIST
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
20 Oct 2021
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT, INVESTMENT SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 20 Oct 2021
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
Since 20 Oct 2021
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
03 May 2019 - 30 Jun 2021
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
03 May 2019 - 30 Jun 2021
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
24 Feb 2018 - 04 Feb 2019
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
24 Feb 2018 - 04 Feb 2019
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
15 Sep 2016 - 24 Nov 2017
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
15 Sep 2016 - 24 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Aug 2016 - 29 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Aug 2016 - 29 Aug 2016
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
08 Aug 2011 - 12 Jun 2016
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
21 May 2011 - 12 Jun 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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, KWOK WING
:
Chinese Name of Relevant Individual
劉國榮
:
HKMA Registration Number
AF1263
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
20 Oct 2021
No
VICE PRESIDENT, INVESTMENT SPECIALIST
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
20 Oct 2021
No
VICE PRESIDENT, INVESTMENT SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1263
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 20 Oct 2021
No
AF1263
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 20 Oct 2021
No
AF1263
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 May 2019 - 30 Jun 2021
No
AF1263
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 May 2019 - 30 Jun 2021
No
AF1263
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
24 Feb 2018 - 04 Feb 2019
No
AF1263
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
24 Feb 2018 - 04 Feb 2019
No
AF1263
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
15 Sep 2016 - 24 Nov 2017
No
AF1263
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
15 Sep 2016 - 24 Nov 2017
No
AF1263
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
23 Aug 2016 - 29 Aug 2016
No
AF1263
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
23 Aug 2016 - 29 Aug 2016
No
AF1263
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Aug 2011 - 12 Jun 2016
No
AF1263
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 May 2011 - 12 Jun 2016
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.