Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, POK WAI
Chinese Name of Relevant Individual
歐璞蔚
HKMA Registration Number
AG1761
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
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jun 2020 - 13 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jun 2020 - 13 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Nov 2013 - 20 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Nov 2013 - 20 Jun 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
AU, POK WAI
:
Chinese Name of Relevant Individual
歐璞蔚
:
HKMA Registration Number
AG1761
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1761
AGRICULTURAL BANK OF CHINA LIMITED
Type 1: dealing in securities
05 Jun 2020 - 13 Dec 2024
No
AG1761
AGRICULTURAL BANK OF CHINA LIMITED
Type 4: advising on securities
05 Jun 2020 - 13 Dec 2024
No
AG1761
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
23 Nov 2013 - 20 Jun 2019
No
AG1761
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
23 Nov 2013 - 20 Jun 2019
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.