Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, HOI WAN
Chinese Name of Relevant Individual
劉海韻
HKMA Registration Number
AF5668
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
CHONG HING BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Mar 2023 - 31 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Mar 2023 - 31 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 9: asset management
Effective Period
09 Mar 2023 - 31 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Apr 2020 - 06 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
17 Apr 2020 - 06 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA MINSHENG BANKING CORP., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Sep 2018 - 02 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA MINSHENG BANKING CORP., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
27 Sep 2018 - 02 Mar 2020
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
10 Mar 2015 - 25 Jan 2016
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
10 Mar 2015 - 25 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Oct 2014 - 09 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Oct 2014 - 09 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
22 Oct 2014 - 09 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jun 2014 - 18 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jun 2014 - 18 Aug 2014
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
18 Apr 2012 - 16 May 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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, HOI WAN
:
Chinese Name of Relevant Individual
劉海韻
:
HKMA Registration Number
AF5668
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF5668
CHONG HING BANK LIMITED
Type 1: dealing in securities
09 Mar 2023 - 31 Jul 2025
No
AF5668
CHONG HING BANK LIMITED
Type 4: advising on securities
09 Mar 2023 - 31 Jul 2025
No
AF5668
CHONG HING BANK LIMITED
Type 9: asset management
09 Mar 2023 - 31 Jul 2025
No
AF5668
INDUSTRIAL BANK CO., LTD.
Type 1: dealing in securities
17 Apr 2020 - 06 Nov 2020
No
AF5668
INDUSTRIAL BANK CO., LTD.
Type 4: advising on securities
17 Apr 2020 - 06 Nov 2020
No
AF5668
CHINA MINSHENG BANKING CORP., LTD.
Type 1: dealing in securities
27 Sep 2018 - 02 Mar 2020
No
AF5668
CHINA MINSHENG BANKING CORP., LTD.
Type 4: advising on securities
27 Sep 2018 - 02 Mar 2020
No
AF5668
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
10 Mar 2015 - 25 Jan 2016
No
AF5668
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
10 Mar 2015 - 25 Jan 2016
No
AF5668
HANG SENG BANK, LIMITED
Type 1: dealing in securities
22 Oct 2014 - 09 Nov 2014
No
AF5668
HANG SENG BANK, LIMITED
Type 4: advising on securities
22 Oct 2014 - 09 Nov 2014
No
AF5668
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
22 Oct 2014 - 09 Nov 2014
No
AF5668
WING LUNG BANK LIMITED
Type 1: dealing in securities
18 Jun 2014 - 18 Aug 2014
No
AF5668
WING LUNG BANK LIMITED
Type 4: advising on securities
18 Jun 2014 - 18 Aug 2014
No
AF5668
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
18 Apr 2012 - 16 May 2014
No
AF5668
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
18 Apr 2012 - 16 May 2014
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.