Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, KA LAM
Chinese Name of Relevant Individual
劉家林
HKMA Registration Number
AI7833
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
13 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
TREASURES RELATIONSHIP ASSOCIATE
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
13 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
TREASURES RELATIONSHIP ASSOCIATE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DBS BANK (HONG KONG) LIMITED
SFC CE number
AAL664
Business Address
11TH FLOOR, THE CENTER, 99 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
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 13 Jun 2024
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
Since 13 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Dec 2023 - 16 May 2024
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 Oct 2022 - 28 Oct 2023
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 Oct 2022 - 28 Oct 2023
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
30 Sep 2021 - 10 Sep 2022
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
30 Sep 2021 - 10 Sep 2022
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, KA LAM
:
Chinese Name of Relevant Individual
劉家林
:
HKMA Registration Number
AI7833
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
13 Jun 2024
No
TREASURES RELATIONSHIP ASSOCIATE
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
13 Jun 2024
No
TREASURES RELATIONSHIP ASSOCIATE
Name of Registered Institution
SFC CE number
Business Address
DBS BANK (HONG KONG) LIMITED
AAL664
11TH FLOOR, THE CENTER, 99 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI7833
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 13 Jun 2024
No
AI7833
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 13 Jun 2024
No
AI7833
OCBC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
14 Dec 2023 - 16 May 2024
No
AI7833
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
07 Oct 2022 - 28 Oct 2023
No
AI7833
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
07 Oct 2022 - 28 Oct 2023
No
AI7833
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
30 Sep 2021 - 10 Sep 2022
No
AI7833
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
30 Sep 2021 - 10 Sep 2022
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.