Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAU, LOK WING
Chinese Name of Relevant Individual
巢樂榮
HKMA Registration Number
AJ6433
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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Feb 2025 - 21 Mar 2025
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
28 Feb 2025 - 21 Mar 2025
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
28 Feb 2025 - 21 Mar 2025
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
28 Feb 2025 - 21 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 9: asset management
Effective Period
28 Feb 2025 - 21 Mar 2025
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
CHAU, LOK WING
:
Chinese Name of Relevant Individual
巢樂榮
:
HKMA Registration Number
AJ6433
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ6433
LGT BANK AG
Type 1: dealing in securities
28 Feb 2025 - 21 Mar 2025
No
AJ6433
LGT BANK AG
Type 2: dealing in futures contracts
28 Feb 2025 - 21 Mar 2025
No
AJ6433
LGT BANK AG
Type 4: advising on securities
28 Feb 2025 - 21 Mar 2025
No
AJ6433
LGT BANK AG
Type 5: advising on futures contracts
28 Feb 2025 - 21 Mar 2025
No
AJ6433
LGT BANK AG
Type 9: asset management
28 Feb 2025 - 21 Mar 2025
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.