Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, KA LAP
Chinese Name of Relevant Individual
廖嘉立
HKMA Registration Number
AI0330
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
16 Jul 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR INSURANCE SPECIALIST
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
16 Jul 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR INSURANCE SPECIALIST
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 16 Jul 2024
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 16 Jul 2024
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
19 Aug 2021 - 30 Nov 2022
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
19 Aug 2021 - 30 Nov 2022
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
09 Jul 2020 - 25 May 2021
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
09 Jul 2020 - 25 May 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 Nov 2019 - 05 Jun 2020
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
19 Dec 2018 - 05 Jun 2020
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
19 Dec 2018 - 05 Jun 2020
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
LIU, KA LAP
:
Chinese Name of Relevant Individual
廖嘉立
:
HKMA Registration Number
AI0330
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
16 Jul 2024
No
SENIOR INSURANCE SPECIALIST
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
16 Jul 2024
No
SENIOR INSURANCE SPECIALIST
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)
AI0330
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
Since 16 Jul 2024
No
AI0330
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
Since 16 Jul 2024
No
AI0330
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
19 Aug 2021 - 30 Nov 2022
No
AI0330
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
19 Aug 2021 - 30 Nov 2022
No
AI0330
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
09 Jul 2020 - 25 May 2021
No
AI0330
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
09 Jul 2020 - 25 May 2021
No
AI0330
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
22 Nov 2019 - 05 Jun 2020
No
AI0330
HANG SENG BANK, LIMITED
Type 1: dealing in securities
19 Dec 2018 - 05 Jun 2020
No
AI0330
HANG SENG BANK, LIMITED
Type 4: advising on securities
19 Dec 2018 - 05 Jun 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.