Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, YAU FONG
Chinese Name of Relevant Individual
劉幽芳
HKMA Registration Number
AH1468
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
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Feb 2020 - 06 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
19 Feb 2020 - 06 Mar 2020
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
07 May 2016 - 03 Dec 2016
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
07 May 2016 - 03 Dec 2016
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, YAU FONG
:
Chinese Name of Relevant Individual
劉幽芳
:
HKMA Registration Number
AH1468
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1468
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
19 Feb 2020 - 06 Mar 2020
No
AH1468
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
19 Feb 2020 - 06 Mar 2020
No
AH1468
CTBC BANK CO., LTD.
Type 1: dealing in securities
07 May 2016 - 03 Dec 2016
No
AH1468
CTBC BANK CO., LTD.
Type 4: advising on securities
07 May 2016 - 03 Dec 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.