Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, PAK NING JASON
Chinese Name of Relevant Individual
劉柏寧
HKMA Registration Number
AG4654
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
First date of engagement
15 Jul 2021
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT ADVISOR
Remarks
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
First date of engagement
15 Jul 2021
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT ADVISOR
Remarks
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
15 Jul 2021
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT ADVISOR
Remarks
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
15 Jul 2021
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT ADVISOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CITIBANK, N.A.
SFC CE number
AAP937
Business Address
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Name of Registered Institution
CITICORP INTERNATIONAL LIMITED
SFC CE number
AAJ895
Business Address
50TH FLOOR, CHAMPION TOWER, 3 GARDEN 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
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 15 Jul 2021
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
Since 15 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 15 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 15 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jul 2017 - 25 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jul 2017 - 25 May 2021
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
10 Mar 2015 - 14 Jul 2017
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
10 Mar 2015 - 14 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Sep 2014 - 14 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
02 Sep 2014 - 14 Jul 2017
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
LAU, PAK NING JASON
:
Chinese Name of Relevant Individual
劉柏寧
:
HKMA Registration Number
AG4654
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CITIBANK, N.A.
Type 1: dealing in securities
15 Jul 2021
No
INVESTMENT ADVISOR
CITIBANK, N.A.
Type 4: advising on securities
15 Jul 2021
No
INVESTMENT ADVISOR
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
15 Jul 2021
No
INVESTMENT ADVISOR
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
15 Jul 2021
No
INVESTMENT ADVISOR
Name of Registered Institution
SFC CE number
Business Address
CITIBANK, N.A.
AAP937
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
CITICORP INTERNATIONAL LIMITED
AAJ895
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4654
CITIBANK, N.A.
Type 1: dealing in securities
Since 15 Jul 2021
No
AG4654
CITIBANK, N.A.
Type 4: advising on securities
Since 15 Jul 2021
No
AG4654
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 15 Jul 2021
No
AG4654
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
Since 15 Jul 2021
No
AG4654
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
24 Jul 2017 - 25 May 2021
No
AG4654
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
24 Jul 2017 - 25 May 2021
No
AG4654
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
10 Mar 2015 - 14 Jul 2017
No
AG4654
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
10 Mar 2015 - 14 Jul 2017
No
AG4654
DBS BANK LTD.
Type 1: dealing in securities
02 Sep 2014 - 14 Jul 2017
No
AG4654
DBS BANK LTD.
Type 4: advising on securities
02 Sep 2014 - 14 Jul 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.