Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, KAI YUEN
Chinese Name of Relevant Individual
劉啟源
HKMA Registration Number
AF2965
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
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Nov 2016 - 31 Mar 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
21 Nov 2016 - 31 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Oct 2015 - 11 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Oct 2015 - 11 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Aug 2014 - 12 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
30 Aug 2014 - 12 Oct 2015
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
17 Sep 2011 - 12 Feb 2012
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
17 Sep 2011 - 12 Feb 2012
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
LAU, KAI YUEN
:
Chinese Name of Relevant Individual
劉啟源
:
HKMA Registration Number
AF2965
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2965
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
21 Nov 2016 - 31 Mar 2017
No
AF2965
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
21 Nov 2016 - 31 Mar 2017
No
AF2965
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Oct 2015 - 11 Oct 2016
No
AF2965
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Oct 2015 - 11 Oct 2016
No
AF2965
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
30 Aug 2014 - 12 Oct 2015
No
AF2965
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
30 Aug 2014 - 12 Oct 2015
No
AF2965
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
17 Sep 2011 - 12 Feb 2012
No
AF2965
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
17 Sep 2011 - 12 Feb 2012
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.