Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, YIN NI
Chinese Name of Relevant Individual
劉燕妮
HKMA Registration Number
AG7495
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
14 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
DEPUTY MANAGER
Remarks
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
DEPUTY MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
SFC CE number
AGV591
Business Address
23/F, ONE CAUSEWAY BAY, 281 GLOUCESTER ROAD, CAUSEWAY BAY, 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
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 14 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 14 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Aug 2022 - 01 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Aug 2022 - 01 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
06 May 2015 - 24 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
06 May 2015 - 24 Jun 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, YIN NI
:
Chinese Name of Relevant Individual
劉燕妮
:
HKMA Registration Number
AG7495
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CATHAY UNITED BANK COMPANY, LIMITED
Type 1: dealing in securities
14 Jul 2025
No
DEPUTY MANAGER
CATHAY UNITED BANK COMPANY, LIMITED
Type 4: advising on securities
14 Jul 2025
No
DEPUTY MANAGER
Name of Registered Institution
SFC CE number
Business Address
CATHAY UNITED BANK COMPANY, LIMITED
AGV591
23/F, ONE CAUSEWAY BAY, 281 GLOUCESTER ROAD, CAUSEWAY BAY, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7495
CATHAY UNITED BANK COMPANY, LIMITED
Type 1: dealing in securities
Since 14 Jul 2025
No
AG7495
CATHAY UNITED BANK COMPANY, LIMITED
Type 4: advising on securities
Since 14 Jul 2025
No
AG7495
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
25 Aug 2022 - 01 Jul 2025
No
AG7495
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
25 Aug 2022 - 01 Jul 2025
No
AG7495
CTBC BANK CO., LTD.
Type 1: dealing in securities
06 May 2015 - 24 Jun 2022
No
AG7495
CTBC BANK CO., LTD.
Type 4: advising on securities
06 May 2015 - 24 Jun 2022
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.