Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, KA YEE
Chinese Name of Relevant Individual
羅嘉怡
HKMA Registration Number
AC7557
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
24 Jul 2019
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
24 Jul 2019
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
First date of engagement
24 Jul 2019
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HANG SENG BANK, LIMITED
SFC CE number
AAH297
Business Address
HANG SENG BANK BLDG., 83 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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 24 Jul 2019
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
Since 24 Jul 2019
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
Since 24 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jan 2018 - 02 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jan 2018 - 02 Jun 2019
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
15 Aug 2017 - 28 Jan 2018
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
15 Aug 2017 - 28 Jan 2018
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
09 Apr 2015 - 01 Feb 2016
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
09 Apr 2015 - 01 Feb 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC WING HANG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jul 2014 - 07 Nov 2014
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
31 Mar 2008 - 21 Apr 2013
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
31 Mar 2008 - 21 Apr 2013
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
31 Mar 2008 - 21 Apr 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jul 2007 - 20 Jan 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jul 2007 - 20 Jan 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 21
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, KA YEE
:
Chinese Name of Relevant Individual
羅嘉怡
:
HKMA Registration Number
AC7557
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HANG SENG BANK, LIMITED
Type 1: dealing in securities
24 Jul 2019
No
CUSTOMER SERVICE
HANG SENG BANK, LIMITED
Type 4: advising on securities
24 Jul 2019
No
CUSTOMER SERVICE
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
24 Jul 2019
No
CUSTOMER SERVICE
Name of Registered Institution
SFC CE number
Business Address
HANG SENG BANK, LIMITED
AAH297
HANG SENG BANK BLDG., 83 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC7557
HANG SENG BANK, LIMITED
Type 1: dealing in securities
Since 24 Jul 2019
No
AC7557
HANG SENG BANK, LIMITED
Type 4: advising on securities
Since 24 Jul 2019
No
AC7557
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
Since 24 Jul 2019
No
AC7557
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jan 2018 - 02 Jun 2019
No
AC7557
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
22 Jan 2018 - 02 Jun 2019
No
AC7557
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
15 Aug 2017 - 28 Jan 2018
No
AC7557
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
15 Aug 2017 - 28 Jan 2018
No
AC7557
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
09 Apr 2015 - 01 Feb 2016
No
AC7557
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
09 Apr 2015 - 01 Feb 2016
No
AC7557
OCBC WING HANG BANK LIMITED
Type 1: dealing in securities
12 Jul 2014 - 07 Nov 2014
No
AC7557
HANG SENG BANK, LIMITED
Type 1: dealing in securities
31 Mar 2008 - 21 Apr 2013
No
AC7557
HANG SENG BANK, LIMITED
Type 4: advising on securities
31 Mar 2008 - 21 Apr 2013
No
AC7557
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
31 Mar 2008 - 21 Apr 2013
No
AC7557
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
20 Jul 2007 - 20 Jan 2008
No
AC7557
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
20 Jul 2007 - 20 Jan 2008
No
AC7557
HANG SENG BANK, LIMITED
Type 1: dealing in securities
16 Mar 2006 - 22 Jun 2007
No
AC7557
HANG SENG BANK, LIMITED
Type 4: advising on securities
16 Mar 2006 - 22 Jun 2007
No
AC7557
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
16 Mar 2006 - 22 Jun 2007
No
AC7557
HANG SENG BANK, LIMITED
Type 4: advising on securities
12 Jan 2006 - 05 Mar 2006
No
AC7557
HANG SENG BANK, LIMITED
Type 1: dealing in securities
09 Nov 2005 - 05 Mar 2006
No
AC7557
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
09 Nov 2005 - 05 Mar 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.