Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, CHUNG YEE
Chinese Name of Relevant Individual
劉頌儀
HKMA Registration Number
AF1835
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HUA XIA BANK CO., LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
12 Feb 2026
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT MANAGER
Remarks
Registered Institution
HUA XIA BANK CO., LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
12 Feb 2026
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HUA XIA BANK CO., LIMITED
SFC CE number
BDQ794
Business Address
SUITES 1611-1615 ON 16/F AND THE WHOLE OF 18/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, 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
HUA XIA BANK CO., LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 12 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HUA XIA BANK CO., LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 12 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Aug 2020 - 21 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 Aug 2020 - 21 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Nov 2019 - 21 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
29 Nov 2019 - 21 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jan 2018 - 22 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jan 2018 - 22 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jul 2011 - 28 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jul 2011 - 28 Jan 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, CHUNG YEE
:
Chinese Name of Relevant Individual
劉頌儀
:
HKMA Registration Number
AF1835
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HUA XIA BANK CO., LIMITED
Type 1: dealing in securities
12 Feb 2026
No
ASSISTANT MANAGER
HUA XIA BANK CO., LIMITED
Type 4: advising on securities
12 Feb 2026
No
ASSISTANT MANAGER
Name of Registered Institution
SFC CE number
Business Address
HUA XIA BANK CO., LIMITED
BDQ794
SUITES 1611-1615 ON 16/F AND THE WHOLE OF 18/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1835
HUA XIA BANK CO., LIMITED
Type 1: dealing in securities
Since 12 Feb 2026
No
AF1835
HUA XIA BANK CO., LIMITED
Type 4: advising on securities
Since 12 Feb 2026
No
AF1835
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
12 Aug 2020 - 21 Dec 2025
No
AF1835
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
12 Aug 2020 - 21 Dec 2025
No
AF1835
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
29 Nov 2019 - 21 Dec 2025
No
AF1835
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
29 Nov 2019 - 21 Dec 2025
No
AF1835
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jan 2018 - 22 Sep 2019
No
AF1835
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
22 Jan 2018 - 22 Sep 2019
No
AF1835
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
05 Jul 2011 - 28 Jan 2018
No
AF1835
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
05 Jul 2011 - 28 Jan 2018
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.