Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAU, STEPHANIE CARMEN
Chinese Name of Relevant Individual
邱嘉雯
HKMA Registration Number
AH9898
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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Feb 2021 - 29 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
09 Feb 2021 - 29 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Feb 2021 - 29 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
09 Feb 2021 - 29 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Nov 2018 - 08 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
03 Nov 2018 - 08 Jan 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
YAU, STEPHANIE CARMEN
:
Chinese Name of Relevant Individual
邱嘉雯
:
HKMA Registration Number
AH9898
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH9898
LGT BANK AG
Type 1: dealing in securities
09 Feb 2021 - 29 May 2026
No
AH9898
LGT BANK AG
Type 2: dealing in futures contracts
09 Feb 2021 - 29 May 2026
No
AH9898
LGT BANK AG
Type 4: advising on securities
09 Feb 2021 - 29 May 2026
No
AH9898
LGT BANK AG
Type 5: advising on futures contracts
09 Feb 2021 - 29 May 2026
No
AH9898
CREDIT SUISSE AG
Type 1: dealing in securities
03 Nov 2018 - 08 Jan 2021
No
AH9898
CREDIT SUISSE AG
Type 4: advising on securities
03 Nov 2018 - 08 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.