Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HA, ERIC KING LUN
Chinese Name of Relevant Individual
夏敬麟
HKMA Registration Number
AG1450
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
NATWEST MARKETS PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jul 2020 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 4: advising on securities
Effective Period
17 Jul 2020 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
15 May 2019 - 16 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 4: advising on securities
Effective Period
15 May 2019 - 16 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WESTPAC BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Sep 2017 - 24 Mar 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
WESTPAC BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
29 Sep 2017 - 24 Mar 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
WESTPAC BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Oct 2016 - 28 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WESTPAC BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
24 Oct 2016 - 28 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Oct 2013 - 07 Jun 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
HA, ERIC KING LUN
:
Chinese Name of Relevant Individual
夏敬麟
:
HKMA Registration Number
AG1450
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1450
NATWEST MARKETS PLC
Type 1: dealing in securities
17 Jul 2020 - 30 Apr 2021
Yes
AG1450
NATWEST MARKETS PLC
Type 4: advising on securities
17 Jul 2020 - 30 Apr 2021
Yes
AG1450
NATWEST MARKETS PLC
Type 1: dealing in securities
15 May 2019 - 16 Jul 2020
No
AG1450
NATWEST MARKETS PLC
Type 4: advising on securities
15 May 2019 - 16 Jul 2020
No
AG1450
WESTPAC BANKING CORPORATION
Type 1: dealing in securities
29 Sep 2017 - 24 Mar 2019
Yes
AG1450
WESTPAC BANKING CORPORATION
Type 4: advising on securities
29 Sep 2017 - 24 Mar 2019
Yes
AG1450
WESTPAC BANKING CORPORATION
Type 1: dealing in securities
24 Oct 2016 - 28 Sep 2017
No
AG1450
WESTPAC BANKING CORPORATION
Type 4: advising on securities
24 Oct 2016 - 28 Sep 2017
No
AG1450
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
25 Oct 2013 - 07 Jun 2016
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.