Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SIU, WAI LOK
Chinese Name of Relevant Individual
蕭煒諾
HKMA Registration Number
AH7160
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
18 Apr 2023
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT VICE PRESIDENT - TEAM HEAD, RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
18 Apr 2023
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT VICE PRESIDENT - TEAM HEAD, RELATIONSHIP MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
SFC CE number
AAJ165
Business Address
BANK OF EAST ASIA BUILDING, 10 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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 18 Apr 2023
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
Since 18 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Oct 2021 - 01 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
30 Oct 2021 - 01 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jan 2021 - 24 Oct 2021
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
29 Jan 2021 - 24 Oct 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
22 Feb 2018 - 03 Jan 2021
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
22 Feb 2018 - 03 Jan 2021
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
22 Feb 2018 - 03 Jan 2021
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
SIU, WAI LOK
:
Chinese Name of Relevant Individual
蕭煒諾
:
HKMA Registration Number
AH7160
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
18 Apr 2023
No
ASSISTANT VICE PRESIDENT - TEAM HEAD, RELATIONSHIP MANAGEMENT
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
18 Apr 2023
No
ASSISTANT VICE PRESIDENT - TEAM HEAD, RELATIONSHIP MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
BANK OF EAST ASIA, LIMITED (THE)
AAJ165
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH7160
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
Since 18 Apr 2023
No
AH7160
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
Since 18 Apr 2023
No
AH7160
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
30 Oct 2021 - 01 Apr 2023
No
AH7160
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
30 Oct 2021 - 01 Apr 2023
No
AH7160
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
29 Jan 2021 - 24 Oct 2021
No
AH7160
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
29 Jan 2021 - 24 Oct 2021
No
AH7160
HANG SENG BANK, LIMITED
Type 1: dealing in securities
22 Feb 2018 - 03 Jan 2021
No
AH7160
HANG SENG BANK, LIMITED
Type 4: advising on securities
22 Feb 2018 - 03 Jan 2021
No
AH7160
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
22 Feb 2018 - 03 Jan 2021
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.