Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, WING CHI
Chinese Name of Relevant Individual
劉頴芝
HKMA Registration Number
AI0320
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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Sep 2024 - 19 Jun 2025
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
20 Sep 2024 - 19 Jun 2025
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
20 Sep 2024 - 19 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jun 2023 - 04 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jun 2023 - 04 Sep 2024
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
13 Aug 2021 - 05 May 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
13 Aug 2021 - 05 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Nov 2019 - 30 Jun 2021
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
09 Nov 2019 - 30 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Dec 2018 - 30 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Dec 2018 - 30 Sep 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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, WING CHI
:
Chinese Name of Relevant Individual
劉頴芝
:
HKMA Registration Number
AI0320
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI0320
HANG SENG BANK, LIMITED
Type 1: dealing in securities
20 Sep 2024 - 19 Jun 2025
No
AI0320
HANG SENG BANK, LIMITED
Type 4: advising on securities
20 Sep 2024 - 19 Jun 2025
No
AI0320
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
20 Sep 2024 - 19 Jun 2025
No
AI0320
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
22 Jun 2023 - 04 Sep 2024
No
AI0320
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
22 Jun 2023 - 04 Sep 2024
No
AI0320
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
13 Aug 2021 - 05 May 2023
No
AI0320
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
13 Aug 2021 - 05 May 2023
No
AI0320
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Nov 2019 - 30 Jun 2021
No
AI0320
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Nov 2019 - 30 Jun 2021
No
AI0320
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
18 Dec 2018 - 30 Sep 2019
No
AI0320
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
18 Dec 2018 - 30 Sep 2019
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.