Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN LO, VIVIAN FUNG YEE
Chinese Name of Relevant Individual
陳盧鳳儀
HKMA Registration Number
AA1854
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
06 Jan 2017
Is an Executive Officer? (Yes / No)
Yes
Capacity
GLOBAL VICE CHAIRMAN, PRIVATE BANKING
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Jan 2017
Is an Executive Officer? (Yes / No)
Yes
Capacity
GLOBAL VICE CHAIRMAN, PRIVATE BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A DES VOEUX 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 28 Apr 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 28 Apr 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jan 2017 - 27 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jan 2017 - 27 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2016 - 06 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jul 2016 - 06 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Nov 2013 - 30 Jun 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
22 Nov 2013 - 30 Jun 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Aug 2013 - 21 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
13 Aug 2013 - 21 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Oct 2006 - 10 May 2013
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Oct 2006 - 10 May 2013
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Jun 2005 - 18 Oct 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 4: advising on securities
Effective Period
25 Jun 2005 - 18 Oct 2006
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
01 Apr 2003 - 05 May 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
CHAN LO, VIVIAN FUNG YEE
:
Chinese Name of Relevant Individual
陳盧鳳儀
:
HKMA Registration Number
AA1854
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 Jan 2017
Yes
GLOBAL VICE CHAIRMAN, PRIVATE BANKING
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
06 Jan 2017
Yes
GLOBAL VICE CHAIRMAN, PRIVATE BANKING
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1854
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 28 Apr 2017
Yes
AA1854
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 28 Apr 2017
Yes
AA1854
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 Jan 2017 - 27 Apr 2017
No
AA1854
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
06 Jan 2017 - 27 Apr 2017
No
AA1854
BARCLAYS BANK PLC
Type 1: dealing in securities
01 Jul 2016 - 06 Jul 2016
No
AA1854
BARCLAYS BANK PLC
Type 4: advising on securities
01 Jul 2016 - 06 Jul 2016
No
AA1854
BARCLAYS BANK PLC
Type 1: dealing in securities
22 Nov 2013 - 30 Jun 2016
Yes
AA1854
BARCLAYS BANK PLC
Type 4: advising on securities
22 Nov 2013 - 30 Jun 2016
Yes
AA1854
BARCLAYS BANK PLC
Type 1: dealing in securities
13 Aug 2013 - 21 Nov 2013
No
AA1854
BARCLAYS BANK PLC
Type 4: advising on securities
13 Aug 2013 - 21 Nov 2013
No
AA1854
CREDIT SUISSE AG
Type 1: dealing in securities
19 Oct 2006 - 10 May 2013
Yes
AA1854
CREDIT SUISSE AG
Type 4: advising on securities
19 Oct 2006 - 10 May 2013
Yes
AA1854
CREDIT SUISSE
Type 1: dealing in securities
25 Jun 2005 - 18 Oct 2006
No
AA1854
CREDIT SUISSE
Type 4: advising on securities
25 Jun 2005 - 18 Oct 2006
No
AA1854
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 05 May 2005
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.