Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, YAT SHING
Chinese Name of Relevant Individual
劉逸成
HKMA Registration Number
AI0590
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
27 Nov 2021
Is an Executive Officer? (Yes / No)
No
Capacity
PREMIER RELATIONSHIP MANAGER
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
27 Nov 2021
Is an Executive Officer? (Yes / No)
No
Capacity
PREMIER RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 27 Nov 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
Since 27 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Apr 2020 - 02 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Apr 2020 - 02 Oct 2021
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
17 Jan 2019 - 10 Jan 2020
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
17 Jan 2019 - 10 Jan 2020
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
LAU, YAT SHING
:
Chinese Name of Relevant Individual
劉逸成
:
HKMA Registration Number
AI0590
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
27 Nov 2021
No
PREMIER RELATIONSHIP MANAGER
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
27 Nov 2021
No
PREMIER RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI0590
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 27 Nov 2021
No
AI0590
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 27 Nov 2021
No
AI0590
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
06 Apr 2020 - 02 Oct 2021
No
AI0590
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
06 Apr 2020 - 02 Oct 2021
No
AI0590
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
17 Jan 2019 - 10 Jan 2020
No
AI0590
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
17 Jan 2019 - 10 Jan 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.