Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, WAI HO
Chinese Name of Relevant Individual
區偉皓
HKMA Registration Number
AH3152
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 9: asset management
Effective Period
01 Aug 2022 - 10 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jun 2022 - 10 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jun 2022 - 10 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2018 - 13 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 May 2018 - 13 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2018 - 13 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 May 2018 - 13 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Nov 2016 - 30 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Nov 2016 - 30 Apr 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
AU, WAI HO
:
Chinese Name of Relevant Individual
區偉皓
:
HKMA Registration Number
AH3152
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3152
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 9: asset management
01 Aug 2022 - 10 Oct 2022
No
AH3152
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
20 Jun 2022 - 10 Oct 2022
No
AH3152
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
20 Jun 2022 - 10 Oct 2022
No
AH3152
CITIBANK, N.A.
Type 1: dealing in securities
01 May 2018 - 13 May 2022
No
AH3152
CITIBANK, N.A.
Type 4: advising on securities
01 May 2018 - 13 May 2022
No
AH3152
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
01 May 2018 - 13 May 2022
No
AH3152
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
01 May 2018 - 13 May 2022
No
AH3152
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Nov 2016 - 30 Apr 2018
No
AH3152
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Nov 2016 - 30 Apr 2018
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.