Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, TSZ HIM
Chinese Name of Relevant Individual
劉子謙
HKMA Registration Number
AI4374
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
13 Feb 2026
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ACCOUNT MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, 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
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 13 Feb 2026
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
07 Dec 2023 - 03 Apr 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
07 Dec 2023 - 03 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Sep 2022 - 10 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Sep 2022 - 10 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Sep 2022 - 10 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
08 Sep 2022 - 10 Nov 2023
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
02 Jun 2021 - 24 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 4: advising on securities
Effective Period
02 Jun 2021 - 24 Jun 2022
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
13 May 2020 - 21 Mar 2021
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
13 May 2020 - 21 Mar 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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, TSZ HIM
:
Chinese Name of Relevant Individual
劉子謙
:
HKMA Registration Number
AI4374
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
13 Feb 2026
No
CLIENT ACCOUNT MANAGER
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI4374
UBS AG
Type 1: dealing in securities
Since 13 Feb 2026
No
AI4374
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
07 Dec 2023 - 03 Apr 2024
No
AI4374
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
07 Dec 2023 - 03 Apr 2024
No
AI4374
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Sep 2022 - 10 Nov 2023
No
AI4374
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Sep 2022 - 10 Nov 2023
No
AI4374
CITIBANK, N.A.
Type 1: dealing in securities
08 Sep 2022 - 10 Nov 2023
No
AI4374
CITIBANK, N.A.
Type 4: advising on securities
08 Sep 2022 - 10 Nov 2023
No
AI4374
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
02 Jun 2021 - 24 Jun 2022
No
AI4374
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
02 Jun 2021 - 24 Jun 2022
No
AI4374
HANG SENG BANK, LIMITED
Type 1: dealing in securities
13 May 2020 - 21 Mar 2021
No
AI4374
HANG SENG BANK, LIMITED
Type 4: advising on securities
13 May 2020 - 21 Mar 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.