Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LUK, WAI YAN
Chinese Name of Relevant Individual
陸惠恩
HKMA Registration Number
AF8229
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
10 Feb 2015 - 06 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 Feb 2015 - 06 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 May 2014 - 01 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 May 2014 - 01 Dec 2014
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
27 May 2013 - 12 Feb 2014
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
27 May 2013 - 12 Feb 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
22 Nov 2012 - 22 Apr 2013
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
22 Nov 2012 - 22 Apr 2013
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
LUK, WAI YAN
:
Chinese Name of Relevant Individual
陸惠恩
:
HKMA Registration Number
AF8229
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8229
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
10 Feb 2015 - 06 Jan 2016
No
AF8229
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
10 Feb 2015 - 06 Jan 2016
No
AF8229
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 May 2014 - 01 Dec 2014
No
AF8229
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
22 May 2014 - 01 Dec 2014
No
AF8229
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 May 2013 - 12 Feb 2014
No
AF8229
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
27 May 2013 - 12 Feb 2014
No
AF8229
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
22 Nov 2012 - 22 Apr 2013
No
AF8229
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
22 Nov 2012 - 22 Apr 2013
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.