Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, HOY KUM
Chinese Name of Relevant Individual
區凱琴
HKMA Registration Number
AF5757
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
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Aug 2017 - 31 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jul 2017 - 31 Oct 2025
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
25 Aug 2015 - 17 Jul 2017
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
25 Aug 2015 - 17 Jul 2017
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
25 Aug 2015 - 17 Jul 2017
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
27 Apr 2012 - 05 Jul 2015
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
27 Apr 2012 - 05 Jul 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, HOY KUM
:
Chinese Name of Relevant Individual
區凱琴
:
HKMA Registration Number
AF5757
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF5757
EFG BANK AG
Type 4: advising on securities
19 Aug 2017 - 31 Oct 2025
No
AF5757
EFG BANK AG
Type 1: dealing in securities
20 Jul 2017 - 31 Oct 2025
No
AF5757
HANG SENG BANK, LIMITED
Type 1: dealing in securities
25 Aug 2015 - 17 Jul 2017
No
AF5757
HANG SENG BANK, LIMITED
Type 4: advising on securities
25 Aug 2015 - 17 Jul 2017
No
AF5757
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
25 Aug 2015 - 17 Jul 2017
No
AF5757
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
27 Apr 2012 - 05 Jul 2015
No
AF5757
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
27 Apr 2012 - 05 Jul 2015
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.