Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, WAI MAN
Chinese Name of Relevant Individual
盧慧敏
HKMA Registration Number
AC6584
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
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Aug 2009 - 07 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 Aug 2009 - 07 Jul 2015
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
22 Oct 2007 - 02 Jul 2009
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
22 Oct 2007 - 02 Jul 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
25 May 2006 - 07 Oct 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
25 May 2006 - 07 Oct 2007
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
16 Aug 2005 - 12 May 2006
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
16 Aug 2005 - 12 May 2006
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
16 Aug 2005 - 12 May 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, WAI MAN
:
Chinese Name of Relevant Individual
盧慧敏
:
HKMA Registration Number
AC6584
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6584
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
17 Aug 2009 - 07 Jul 2015
No
AC6584
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
17 Aug 2009 - 07 Jul 2015
No
AC6584
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Oct 2007 - 02 Jul 2009
No
AC6584
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
22 Oct 2007 - 02 Jul 2009
No
AC6584
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
25 May 2006 - 07 Oct 2007
No
AC6584
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
25 May 2006 - 07 Oct 2007
No
AC6584
HANG SENG BANK, LIMITED
Type 1: dealing in securities
16 Aug 2005 - 12 May 2006
No
AC6584
HANG SENG BANK, LIMITED
Type 4: advising on securities
16 Aug 2005 - 12 May 2006
No
AC6584
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
16 Aug 2005 - 12 May 2006
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.