Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, KAR KIN KENT
Chinese Name of Relevant Individual
劉家健
HKMA Registration Number
AG3938
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 - 14 Jun 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 - 14 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC WING HANG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Feb 2018 - 27 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jul 2014 - 11 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
03 Jul 2014 - 11 Nov 2017
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, KAR KIN KENT
:
Chinese Name of Relevant Individual
劉家健
:
HKMA Registration Number
AG3938
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3938
AGRICULTURAL BANK OF CHINA LIMITED
Type 1: dealing in securities
05 Jun 2020 - 14 Jun 2024
No
AG3938
AGRICULTURAL BANK OF CHINA LIMITED
Type 4: advising on securities
05 Jun 2020 - 14 Jun 2024
No
AG3938
OCBC WING HANG BANK LIMITED
Type 1: dealing in securities
13 Feb 2018 - 27 Sep 2018
No
AG3938
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Type 1: dealing in securities
03 Jul 2014 - 11 Nov 2017
No
AG3938
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Type 4: advising on securities
03 Jul 2014 - 11 Nov 2017
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.