Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, HEI TUNG HERBERT
Chinese Name of Relevant Individual
劉希潼
HKMA Registration Number
AG4413
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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Aug 2022 - 17 Sep 2022
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 Aug 2022 - 17 Sep 2022
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
08 Mar 2022 - 07 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jul 2018 - 12 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jul 2018 - 12 Sep 2021
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
11 Aug 2014 - 08 Apr 2018
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
11 Aug 2014 - 08 Apr 2018
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
11 Aug 2014 - 27 Mar 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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, HEI TUNG HERBERT
:
Chinese Name of Relevant Individual
劉希潼
:
HKMA Registration Number
AG4413
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4413
HANG SENG BANK, LIMITED
Type 1: dealing in securities
04 Aug 2022 - 17 Sep 2022
No
AG4413
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
04 Aug 2022 - 17 Sep 2022
No
AG4413
OCBC WING HANG BANK LIMITED
Type 1: dealing in securities
08 Mar 2022 - 07 Apr 2022
No
AG4413
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
10 Jul 2018 - 12 Sep 2021
No
AG4413
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
10 Jul 2018 - 12 Sep 2021
No
AG4413
HANG SENG BANK, LIMITED
Type 1: dealing in securities
11 Aug 2014 - 08 Apr 2018
No
AG4413
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
11 Aug 2014 - 08 Apr 2018
No
AG4413
HANG SENG BANK, LIMITED
Type 4: advising on securities
11 Aug 2014 - 27 Mar 2018
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.