Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, CHEUK WAI
Chinese Name of Relevant Individual
區灼維
HKMA Registration Number
AF5957
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Sep 2012 - 14 Jun 2017
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
21 Sep 2012 - 14 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINATRUST COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 May 2012 - 01 Jul 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINATRUST COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 May 2012 - 01 Jul 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, CHEUK WAI
:
Chinese Name of Relevant Individual
區灼維
:
HKMA Registration Number
AF5957
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF5957
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
21 Sep 2012 - 14 Jun 2017
No
AF5957
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
21 Sep 2012 - 14 Jun 2017
No
AF5957
CHINATRUST COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
16 May 2012 - 01 Jul 2012
No
AF5957
CHINATRUST COMMERCIAL BANK, LIMITED
Type 4: advising on securities
16 May 2012 - 01 Jul 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.