Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, CHEUK YUEN
Chinese Name of Relevant Individual
區卓源
HKMA Registration Number
AH4738
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
06 Apr 2022
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, BRANCHES
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Apr 2022
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, BRANCHES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 06 Apr 2022
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
Since 06 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Nov 2020 - 27 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
27 Nov 2020 - 27 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jun 2020 - 01 Sep 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jun 2020 - 01 Sep 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
05 Jun 2020 - 01 Sep 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
23 May 2017 - 02 May 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
23 May 2017 - 02 May 2020
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, CHEUK YUEN
:
Chinese Name of Relevant Individual
區卓源
:
HKMA Registration Number
AH4738
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 Apr 2022
No
SALES, BRANCHES
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
06 Apr 2022
No
SALES, BRANCHES
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH4738
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 06 Apr 2022
No
AH4738
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 06 Apr 2022
No
AH4738
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
27 Nov 2020 - 27 Jul 2021
No
AH4738
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
27 Nov 2020 - 27 Jul 2021
No
AH4738
HANG SENG BANK, LIMITED
Type 1: dealing in securities
05 Jun 2020 - 01 Sep 2020
No
AH4738
HANG SENG BANK, LIMITED
Type 4: advising on securities
05 Jun 2020 - 01 Sep 2020
No
AH4738
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
05 Jun 2020 - 01 Sep 2020
No
AH4738
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
23 May 2017 - 02 May 2020
No
AH4738
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
23 May 2017 - 02 May 2020
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.