Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, YEE CHING
Chinese Name of Relevant Individual
劉以正
HKMA Registration Number
AI2908
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
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Aug 2021 - 04 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
23 Aug 2021 - 04 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
24 Dec 2019 - 12 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Sep 2019 - 12 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
28 Sep 2019 - 12 Aug 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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, YEE CHING
:
Chinese Name of Relevant Individual
劉以正
:
HKMA Registration Number
AI2908
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI2908
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
23 Aug 2021 - 04 Jul 2022
No
AI2908
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
23 Aug 2021 - 04 Jul 2022
No
AI2908
CREDIT SUISSE AG
Type 6: advising on corporate finance
24 Dec 2019 - 12 Aug 2021
No
AI2908
CREDIT SUISSE AG
Type 1: dealing in securities
28 Sep 2019 - 12 Aug 2021
No
AI2908
CREDIT SUISSE AG
Type 4: advising on securities
28 Sep 2019 - 12 Aug 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.