Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, SUM YI
Chinese Name of Relevant Individual
劉心怡
HKMA Registration Number
AG0017
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
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jun 2013 - 23 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jun 2013 - 23 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 6: advising on corporate finance
Effective Period
07 Jun 2013 - 23 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jun 2013 - 17 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jun 2013 - 17 Jun 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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, SUM YI
:
Chinese Name of Relevant Individual
劉心怡
:
HKMA Registration Number
AG0017
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0017
SOCIETE GENERALE
Type 1: dealing in securities
07 Jun 2013 - 23 Dec 2016
No
AG0017
SOCIETE GENERALE
Type 4: advising on securities
07 Jun 2013 - 23 Dec 2016
No
AG0017
SOCIETE GENERALE
Type 6: advising on corporate finance
07 Jun 2013 - 23 Dec 2016
No
AG0017
SOCIETE GENERALE ASIA LIMITED
Type 1: dealing in securities
07 Jun 2013 - 17 Jun 2015
No
AG0017
SOCIETE GENERALE ASIA LIMITED
Type 4: advising on securities
07 Jun 2013 - 17 Jun 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.