Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, HOI LAM
Chinese Name of Relevant Individual
歐凱琳
HKMA Registration Number
AF4287
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
22 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, WM
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
22 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, WM
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A DES VOEUX 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 22 Jun 2024
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
Since 22 Jun 2024
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
30 Jun 2022 - 25 Oct 2023
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
30 Jun 2022 - 25 Oct 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
24 Dec 2020 - 06 May 2022
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
24 Dec 2020 - 06 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Apr 2020 - 18 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Apr 2020 - 18 Nov 2020
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
11 Jan 2013 - 04 Dec 2015
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
11 Jan 2013 - 04 Dec 2015
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
05 Jan 2012 - 18 Jan 2012
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
05 Jan 2012 - 18 Jan 2012
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
AU, HOI LAM
:
Chinese Name of Relevant Individual
歐凱琳
:
HKMA Registration Number
AF4287
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jun 2024
No
SALES, WM
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
22 Jun 2024
No
SALES, WM
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4287
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 22 Jun 2024
No
AF4287
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 22 Jun 2024
No
AF4287
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
30 Jun 2022 - 25 Oct 2023
No
AF4287
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
30 Jun 2022 - 25 Oct 2023
No
AF4287
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
24 Dec 2020 - 06 May 2022
No
AF4287
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
24 Dec 2020 - 06 May 2022
No
AF4287
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
08 Apr 2020 - 18 Nov 2020
No
AF4287
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
08 Apr 2020 - 18 Nov 2020
No
AF4287
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Jan 2013 - 04 Dec 2015
No
AF4287
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Jan 2013 - 04 Dec 2015
No
AF4287
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Jan 2012 - 18 Jan 2012
No
AF4287
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Jan 2012 - 18 Jan 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.