Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAU, KA KIN
Chinese Name of Relevant Individual
鄒家健
HKMA Registration Number
AH4970
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
27 Feb 2025
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING MANAGER
Remarks
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
27 Feb 2025
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
INDUSTRIAL BANK CO., LTD.
SFC CE number
ALZ901
Business Address
10-12/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, 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
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 27 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 27 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jun 2020 - 23 Jul 2021
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
19 Jun 2017 - 15 May 2020
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
19 Jun 2017 - 15 May 2020
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
19 Jun 2017 - 15 May 2020
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
19 Jun 2017 - 15 May 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
CHAU, KA KIN
:
Chinese Name of Relevant Individual
鄒家健
:
HKMA Registration Number
AH4970
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
INDUSTRIAL BANK CO., LTD.
Type 1: dealing in securities
27 Feb 2025
No
PRIVATE BANKING MANAGER
INDUSTRIAL BANK CO., LTD.
Type 4: advising on securities
27 Feb 2025
No
PRIVATE BANKING MANAGER
Name of Registered Institution
SFC CE number
Business Address
INDUSTRIAL BANK CO., LTD.
ALZ901
10-12/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH4970
INDUSTRIAL BANK CO., LTD.
Type 1: dealing in securities
Since 27 Feb 2025
No
AH4970
INDUSTRIAL BANK CO., LTD.
Type 4: advising on securities
Since 27 Feb 2025
No
AH4970
UBS AG
Type 1: dealing in securities
12 Jun 2020 - 23 Jul 2021
No
AH4970
CITIBANK, N.A.
Type 1: dealing in securities
19 Jun 2017 - 15 May 2020
No
AH4970
CITIBANK, N.A.
Type 4: advising on securities
19 Jun 2017 - 15 May 2020
No
AH4970
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
19 Jun 2017 - 15 May 2020
No
AH4970
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
19 Jun 2017 - 15 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.