Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, KIN LOK
Chinese Name of Relevant Individual
劉建樂
HKMA Registration Number
AF9717
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
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Feb 2020 - 31 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
13 Feb 2020 - 31 Mar 2025
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
08 May 2013 - 10 Jan 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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, KIN LOK
:
Chinese Name of Relevant Individual
劉建樂
:
HKMA Registration Number
AF9717
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9717
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
13 Feb 2020 - 31 Mar 2025
No
AF9717
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
13 Feb 2020 - 31 Mar 2025
No
AF9717
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
08 May 2013 - 10 Jan 2020
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.