Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, MING SUM
Chinese Name of Relevant Individual
劉銘心
HKMA Registration Number
AG5207
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
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jun 2021 - 03 Feb 2023
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
22 Jun 2021 - 03 Feb 2023
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
22 Oct 2014 - 17 Feb 2015
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
22 Oct 2014 - 17 Feb 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, MING SUM
:
Chinese Name of Relevant Individual
劉銘心
:
HKMA Registration Number
AG5207
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5207
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
22 Jun 2021 - 03 Feb 2023
No
AG5207
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
22 Jun 2021 - 03 Feb 2023
No
AG5207
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Oct 2014 - 17 Feb 2015
No
AG5207
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
22 Oct 2014 - 17 Feb 2015
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.