Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, YING TUNG
Chinese Name of Relevant Individual
劉應東
HKMA Registration Number
AH1170
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
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jun 2021 - 15 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jun 2021 - 15 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Apr 2016 - 14 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
07 Apr 2016 - 14 Jun 2019
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, YING TUNG
:
Chinese Name of Relevant Individual
劉應東
:
HKMA Registration Number
AH1170
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1170
ROYAL BANK OF CANADA
Type 1: dealing in securities
10 Jun 2021 - 15 Aug 2023
No
AH1170
ROYAL BANK OF CANADA
Type 4: advising on securities
10 Jun 2021 - 15 Aug 2023
No
AH1170
UBS AG
Type 1: dealing in securities
07 Apr 2016 - 14 Jun 2019
No
AH1170
UBS AG
Type 4: advising on securities
07 Apr 2016 - 14 Jun 2019
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.