Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, KAREN KA-WAI
Chinese Name of Relevant Individual
盧嘉慧
HKMA Registration Number
AA1287
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
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 Dec 2014 - 10 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Aug 2009 - 10 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
15 Aug 2009 - 10 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2007 - 09 Apr 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Feb 2004 - 01 Mar 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 18 Jan 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
LO, KAREN KA-WAI
:
Chinese Name of Relevant Individual
盧嘉慧
:
HKMA Registration Number
AA1287
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1287
UBS AG
Type 4: advising on securities
31 Dec 2014 - 10 Sep 2015
No
AA1287
UBS AG
Type 1: dealing in securities
15 Aug 2009 - 10 Sep 2015
No
AA1287
UBS AG
Type 7: providing automated trading services
15 Aug 2009 - 10 Sep 2015
No
AA1287
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
17 May 2007 - 09 Apr 2008
No
AA1287
ABN AMRO BANK N.V.
Type 1: dealing in securities
18 Feb 2004 - 01 Mar 2007
No
AA1287
COMMONWEALTH BANK OF AUSTRALIA
Type 1: dealing in securities
01 Apr 2003 - 18 Jan 2004
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.