Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, WAI YIN
Chinese Name of Relevant Individual
歐瑋彥
HKMA Registration Number
AI5496
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
11 Apr 2024
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF PORTFOLIO MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
11 Apr 2024
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF PORTFOLIO MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Apr 2024
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF PORTFOLIO MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
11 Apr 2024
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF PORTFOLIO MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 9: asset management
First date of engagement
11 Apr 2024
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF PORTFOLIO MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
LGT BANK AG
SFC CE number
AWF529
Business Address
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, 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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
Since 11 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 11 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
Since 11 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 9: asset management
Effective Period
Since 11 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 9: asset management
Effective Period
07 Jul 2021 - 04 Feb 2024
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
18 Nov 2020 - 04 Feb 2024
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
18 Nov 2020 - 04 Feb 2024
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
18 Nov 2020 - 04 Feb 2024
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
AU, WAI YIN
:
Chinese Name of Relevant Individual
歐瑋彥
:
HKMA Registration Number
AI5496
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
11 Apr 2024
No
STAFF OF PORTFOLIO MANAGEMENT
LGT BANK AG
Type 2: dealing in futures contracts
11 Apr 2024
No
STAFF OF PORTFOLIO MANAGEMENT
LGT BANK AG
Type 4: advising on securities
11 Apr 2024
No
STAFF OF PORTFOLIO MANAGEMENT
LGT BANK AG
Type 5: advising on futures contracts
11 Apr 2024
No
STAFF OF PORTFOLIO MANAGEMENT
LGT BANK AG
Type 9: asset management
11 Apr 2024
No
STAFF OF PORTFOLIO MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
LGT BANK AG
AWF529
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI5496
LGT BANK AG
Type 1: dealing in securities
Since 11 Apr 2024
No
AI5496
LGT BANK AG
Type 2: dealing in futures contracts
Since 11 Apr 2024
No
AI5496
LGT BANK AG
Type 4: advising on securities
Since 11 Apr 2024
No
AI5496
LGT BANK AG
Type 5: advising on futures contracts
Since 11 Apr 2024
No
AI5496
LGT BANK AG
Type 9: asset management
Since 11 Apr 2024
No
AI5496
HANG SENG BANK, LIMITED
Type 9: asset management
07 Jul 2021 - 04 Feb 2024
No
AI5496
HANG SENG BANK, LIMITED
Type 1: dealing in securities
18 Nov 2020 - 04 Feb 2024
No
AI5496
HANG SENG BANK, LIMITED
Type 4: advising on securities
18 Nov 2020 - 04 Feb 2024
No
AI5496
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
18 Nov 2020 - 04 Feb 2024
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.