Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, KWOK WING
Chinese Name of Relevant Individual
劉國榮
HKMA Registration Number
AF7923
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
19 Sep 2023
Is an Executive Officer? (Yes / No)
No
Capacity
FIRST VICE PRESIDENT
Remarks
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
19 Sep 2023
Is an Executive Officer? (Yes / No)
No
Capacity
FIRST VICE PRESIDENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UNITED OVERSEAS BANK LIMITED
SFC CE number
AAK840
Business Address
28/F, CHAMPION TOWER, 3 GARDEN 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
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 19 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 19 Sep 2023
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
19 Mar 2018 - 15 Jul 2023
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
19 Mar 2018 - 15 Jul 2023
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
23 May 2015 - 18 Jul 2017
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
23 May 2015 - 18 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Oct 2012 - 01 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Oct 2012 - 01 May 2015
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, KWOK WING
:
Chinese Name of Relevant Individual
劉國榮
:
HKMA Registration Number
AF7923
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UNITED OVERSEAS BANK LIMITED
Type 1: dealing in securities
19 Sep 2023
No
FIRST VICE PRESIDENT
UNITED OVERSEAS BANK LIMITED
Type 4: advising on securities
19 Sep 2023
No
FIRST VICE PRESIDENT
Name of Registered Institution
SFC CE number
Business Address
UNITED OVERSEAS BANK LIMITED
AAK840
28/F, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7923
UNITED OVERSEAS BANK LIMITED
Type 1: dealing in securities
Since 19 Sep 2023
No
AF7923
UNITED OVERSEAS BANK LIMITED
Type 4: advising on securities
Since 19 Sep 2023
No
AF7923
HANG SENG BANK, LIMITED
Type 1: dealing in securities
19 Mar 2018 - 15 Jul 2023
No
AF7923
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
19 Mar 2018 - 15 Jul 2023
No
AF7923
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 May 2015 - 18 Jul 2017
No
AF7923
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
23 May 2015 - 18 Jul 2017
No
AF7923
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
25 Oct 2012 - 01 May 2015
No
AF7923
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
25 Oct 2012 - 01 May 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.