Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, PUI FUN
Chinese Name of Relevant Individual
盧佩芬
HKMA Registration Number
AC5818
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
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jan 2015 - 31 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jan 2015 - 31 Dec 2016
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
16 Jul 2013 - 30 Dec 2014
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
16 Jul 2013 - 30 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jan 2011 - 21 May 2013
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
28 Jan 2011 - 21 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Aug 2010 - 12 Jan 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Aug 2010 - 12 Jan 2011
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
02 Dec 2009 - 02 Jun 2010
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
02 Dec 2009 - 02 Jun 2010
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
26 Apr 2007 - 04 Oct 2009
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
11 Jan 2007 - 04 Oct 2009
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
11 Jan 2007 - 04 Oct 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Jan 2006 - 22 Jun 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
25 Jan 2006 - 22 Jun 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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, PUI FUN
:
Chinese Name of Relevant Individual
盧佩芬
:
HKMA Registration Number
AC5818
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5818
DAH SING BANK, LIMITED
Type 1: dealing in securities
07 Jan 2015 - 31 Dec 2016
No
AC5818
DAH SING BANK, LIMITED
Type 4: advising on securities
07 Jan 2015 - 31 Dec 2016
No
AC5818
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
16 Jul 2013 - 30 Dec 2014
No
AC5818
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
16 Jul 2013 - 30 Dec 2014
No
AC5818
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 Jan 2011 - 21 May 2013
No
AC5818
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 Jan 2011 - 21 May 2013
No
AC5818
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Aug 2010 - 12 Jan 2011
No
AC5818
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Aug 2010 - 12 Jan 2011
No
AC5818
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
02 Dec 2009 - 02 Jun 2010
No
AC5818
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
02 Dec 2009 - 02 Jun 2010
No
AC5818
HANG SENG BANK, LIMITED
Type 4: advising on securities
26 Apr 2007 - 04 Oct 2009
No
AC5818
HANG SENG BANK, LIMITED
Type 1: dealing in securities
11 Jan 2007 - 04 Oct 2009
No
AC5818
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
11 Jan 2007 - 04 Oct 2009
No
AC5818
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
25 Jan 2006 - 22 Jun 2006
No
AC5818
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
25 Jan 2006 - 22 Jun 2006
No
AC5818
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
04 Jun 2005 - 30 Nov 2005
No
AC5818
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
04 Jun 2005 - 30 Nov 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.