Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, JASON WAI KAN
Chinese Name of Relevant Individual
劉瑋勤
HKMA Registration Number
AI2698
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
28 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR VICE PRESIDENT, COMMERCIAL BANKING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR VICE PRESIDENT, COMMERCIAL BANKING
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 28 Oct 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
Since 28 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Aug 2021 - 13 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Aug 2021 - 13 Aug 2023
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
11 Mar 2021 - 18 Jul 2021
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
11 Mar 2021 - 18 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Sep 2019 - 07 Feb 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, JASON WAI KAN
:
Chinese Name of Relevant Individual
劉瑋勤
:
HKMA Registration Number
AI2698
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
28 Oct 2023
No
SENIOR VICE PRESIDENT, COMMERCIAL BANKING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
28 Oct 2023
No
SENIOR VICE PRESIDENT, COMMERCIAL BANKING
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)
AI2698
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 28 Oct 2023
No
AI2698
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 28 Oct 2023
No
AI2698
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Aug 2021 - 13 Aug 2023
No
AI2698
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Aug 2021 - 13 Aug 2023
No
AI2698
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
11 Mar 2021 - 18 Jul 2021
No
AI2698
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
11 Mar 2021 - 18 Jul 2021
No
AI2698
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
05 Sep 2019 - 07 Feb 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.