Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, KA MAN
Chinese Name of Relevant Individual
劉家文
HKMA Registration Number
AG4736
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
13 Dec 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SR RELATIONSHIP MANAGER
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
13 Dec 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SR RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 13 Dec 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
Since 13 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
31 May 2024 - 08 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2024 - 08 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Mar 2022 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
12 Mar 2022 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Mar 2019 - 31 Jan 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
01 Mar 2019 - 31 Jan 2022
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
16 Oct 2017 - 15 Feb 2019
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
16 Oct 2017 - 15 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Nov 2016 - 14 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Nov 2016 - 14 Sep 2017
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
11 Sep 2014 - 31 Oct 2016
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
11 Sep 2014 - 31 Oct 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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, KA MAN
:
Chinese Name of Relevant Individual
劉家文
:
HKMA Registration Number
AG4736
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
13 Dec 2024
No
SR RELATIONSHIP MANAGER
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
13 Dec 2024
No
SR RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4736
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 13 Dec 2024
No
AG4736
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 13 Dec 2024
No
AG4736
UBS AG
Type 1: dealing in securities
31 May 2024 - 08 Nov 2024
No
AG4736
UBS AG
Type 4: advising on securities
31 May 2024 - 08 Nov 2024
No
AG4736
CREDIT SUISSE AG
Type 1: dealing in securities
12 Mar 2022 - 31 May 2024
No
AG4736
CREDIT SUISSE AG
Type 4: advising on securities
12 Mar 2022 - 31 May 2024
No
AG4736
BNP PARIBAS
Type 1: dealing in securities
01 Mar 2019 - 31 Jan 2022
No
AG4736
BNP PARIBAS
Type 4: advising on securities
01 Mar 2019 - 31 Jan 2022
No
AG4736
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Oct 2017 - 15 Feb 2019
No
AG4736
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Oct 2017 - 15 Feb 2019
No
AG4736
DAH SING BANK, LIMITED
Type 1: dealing in securities
16 Nov 2016 - 14 Sep 2017
No
AG4736
DAH SING BANK, LIMITED
Type 4: advising on securities
16 Nov 2016 - 14 Sep 2017
No
AG4736
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
11 Sep 2014 - 31 Oct 2016
No
AG4736
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
11 Sep 2014 - 31 Oct 2016
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.