Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, SIU FUNG
Chinese Name of Relevant Individual
劉小鋒
HKMA Registration Number
AH6476
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
20 Sep 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER, WM
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
20 Sep 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER, WM
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 20 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 20 Sep 2025
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
17 May 2024 - 06 May 2025
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
17 May 2024 - 06 May 2025
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
18 Aug 2023 - 15 Dec 2023
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
18 Aug 2023 - 15 Dec 2023
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
20 May 2022 - 24 Jun 2023
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
20 May 2022 - 24 Jun 2023
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
20 May 2022 - 24 Jun 2023
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
20 May 2022 - 24 Jun 2023
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
28 Nov 2017 - 03 Feb 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
28 Nov 2017 - 03 Feb 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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, SIU FUNG
:
Chinese Name of Relevant Individual
劉小鋒
:
HKMA Registration Number
AH6476
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
20 Sep 2025
No
RELATIONSHIP MANAGER, WM
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
20 Sep 2025
No
RELATIONSHIP MANAGER, WM
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH6476
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 20 Sep 2025
No
AH6476
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 20 Sep 2025
No
AH6476
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
17 May 2024 - 06 May 2025
No
AH6476
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
17 May 2024 - 06 May 2025
No
AH6476
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
18 Aug 2023 - 15 Dec 2023
No
AH6476
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
18 Aug 2023 - 15 Dec 2023
No
AH6476
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 May 2022 - 24 Jun 2023
No
AH6476
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
20 May 2022 - 24 Jun 2023
No
AH6476
CITIBANK, N.A.
Type 1: dealing in securities
20 May 2022 - 24 Jun 2023
No
AH6476
CITIBANK, N.A.
Type 4: advising on securities
20 May 2022 - 24 Jun 2023
No
AH6476
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
28 Nov 2017 - 03 Feb 2022
No
AH6476
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
28 Nov 2017 - 03 Feb 2022
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.