Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAI, YIM HOI
Chinese Name of Relevant Individual
賴嚴凱
HKMA Registration Number
AG3214
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
OCBC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
30 May 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT SERVICES, CONSUMER FINANCIAL SERVICES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
OCBC BANK (HONG KONG) LIMITED
SFC CE number
AAC083
Business Address
OCBC CENTRE, 161 QUEEN'S ROAD CENTRAL, HONG KONG.
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
OCBC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 30 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
31 May 2024 - 04 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2024 - 04 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jan 2023 - 06 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Jan 2023 - 06 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
16 Jan 2023 - 06 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2019 - 01 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2019 - 01 Dec 2022
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
24 Apr 2014 - 01 Dec 2022
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
24 Apr 2014 - 01 Dec 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
LAI, YIM HOI
:
Chinese Name of Relevant Individual
賴嚴凱
:
HKMA Registration Number
AG3214
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
OCBC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
30 May 2025
No
INVESTMENT SERVICES, CONSUMER FINANCIAL SERVICES
Name of Registered Institution
SFC CE number
Business Address
OCBC BANK (HONG KONG) LIMITED
AAC083
OCBC CENTRE, 161 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3214
OCBC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 30 May 2025
No
AG3214
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
31 May 2024 - 04 Mar 2025
No
AG3214
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
31 May 2024 - 04 Mar 2025
No
AG3214
HANG SENG BANK, LIMITED
Type 1: dealing in securities
16 Jan 2023 - 06 May 2024
No
AG3214
HANG SENG BANK, LIMITED
Type 4: advising on securities
16 Jan 2023 - 06 May 2024
No
AG3214
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
16 Jan 2023 - 06 May 2024
No
AG3214
CITIBANK, N.A.
Type 1: dealing in securities
01 Sep 2019 - 01 Dec 2022
No
AG3214
CITIBANK, N.A.
Type 4: advising on securities
01 Sep 2019 - 01 Dec 2022
No
AG3214
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
24 Apr 2014 - 01 Dec 2022
No
AG3214
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
24 Apr 2014 - 01 Dec 2022
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.