Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HAU, LAI LEE
Chinese Name of Relevant Individual
候麗莉
HKMA Registration Number
AI0512
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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Jul 2025 - 06 Jan 2026
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
25 Jul 2025 - 06 Jan 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Nov 2023 - 21 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Nov 2023 - 21 May 2025
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 Dec 2021 - 10 Feb 2023
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 Dec 2021 - 10 Feb 2023
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 Dec 2021 - 30 Jun 2022
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
12 Jan 2019 - 31 Jul 2021
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
12 Jan 2019 - 31 Jul 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
HAU, LAI LEE
:
Chinese Name of Relevant Individual
候麗莉
:
HKMA Registration Number
AI0512
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI0512
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
25 Jul 2025 - 06 Jan 2026
No
AI0512
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
25 Jul 2025 - 06 Jan 2026
No
AI0512
DAH SING BANK, LIMITED
Type 1: dealing in securities
04 Nov 2023 - 21 May 2025
No
AI0512
DAH SING BANK, LIMITED
Type 4: advising on securities
04 Nov 2023 - 21 May 2025
No
AI0512
HANG SENG BANK, LIMITED
Type 1: dealing in securities
22 Dec 2021 - 10 Feb 2023
No
AI0512
HANG SENG BANK, LIMITED
Type 4: advising on securities
22 Dec 2021 - 10 Feb 2023
No
AI0512
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
22 Dec 2021 - 30 Jun 2022
No
AI0512
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
12 Jan 2019 - 31 Jul 2021
No
AI0512
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
12 Jan 2019 - 31 Jul 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.