Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HAU, CHEUK HEI
Chinese Name of Relevant Individual
侯卓曦
HKMA Registration Number
AG3885
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
20 Jul 2024
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT ADVISORY
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
20 Jul 2024
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT ADVISORY
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
SFC CE number
AAF138
Business Address
61-65, DES VOEUX 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
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 20 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 20 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Aug 2021 - 07 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Aug 2021 - 07 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Nov 2018 - 11 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 Nov 2018 - 11 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jan 2018 - 04 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jan 2018 - 04 Oct 2018
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
04 Jul 2017 - 19 Nov 2017
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
04 Jul 2017 - 19 Nov 2017
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
04 Jul 2017 - 19 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jul 2014 - 26 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Jul 2014 - 26 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jun 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Jun 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
HAU, CHEUK HEI
:
Chinese Name of Relevant Individual
侯卓曦
:
HKMA Registration Number
AG3885
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
20 Jul 2024
No
INVESTMENT ADVISORY
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
20 Jul 2024
No
INVESTMENT ADVISORY
Name of Registered Institution
SFC CE number
Business Address
CHINA CITIC BANK INTERNATIONAL LIMITED
AAF138
61-65, DES VOEUX ROAD CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3885
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 20 Jul 2024
No
AG3885
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
Since 20 Jul 2024
No
AG3885
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
07 Aug 2021 - 07 Jul 2024
No
AG3885
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
07 Aug 2021 - 07 Jul 2024
No
AG3885
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
29 Nov 2018 - 11 Jul 2021
No
AG3885
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
29 Nov 2018 - 11 Jul 2021
No
AG3885
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
05 Jan 2018 - 04 Oct 2018
No
AG3885
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
05 Jan 2018 - 04 Oct 2018
No
AG3885
HANG SENG BANK, LIMITED
Type 1: dealing in securities
04 Jul 2017 - 19 Nov 2017
No
AG3885
HANG SENG BANK, LIMITED
Type 4: advising on securities
04 Jul 2017 - 19 Nov 2017
No
AG3885
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
04 Jul 2017 - 19 Nov 2017
No
AG3885
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Jul 2014 - 26 May 2017
No
AG3885
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Jul 2014 - 26 May 2017
No
AG3885
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 Jun 2014
No
AG3885
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
27 Jun 2014
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.