Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, PUI YEE AMY
Chinese Name of Relevant Individual
盧佩怡
HKMA Registration Number
AC8150
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
27 Apr 2020
Is an Executive Officer? (Yes / No)
No
Capacity
PERSONAL BANKING
Remarks
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
27 Apr 2020
Is an Executive Officer? (Yes / No)
No
Capacity
PERSONAL BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
SFC CE number
AAI670
Business Address
33/F, ICBC TOWER, 3 GARDEN 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
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 27 Apr 2020
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
Since 27 Apr 2020
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
20 Jun 2008 - 21 Oct 2019
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
19 Jun 2008 - 21 Oct 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
19 Jun 2008 - 21 Oct 2019
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
30 May 2008 - 12 Jun 2008
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
30 May 2008 - 12 Jun 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIC KA WAH BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jan 2006 - 12 May 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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 YEE AMY
:
Chinese Name of Relevant Individual
盧佩怡
:
HKMA Registration Number
AC8150
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
27 Apr 2020
No
PERSONAL BANKING
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
27 Apr 2020
No
PERSONAL BANKING
Name of Registered Institution
SFC CE number
Business Address
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
AAI670
33/F, ICBC TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC8150
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
Since 27 Apr 2020
No
AC8150
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
Since 27 Apr 2020
No
AC8150
HANG SENG BANK, LIMITED
Type 4: advising on securities
20 Jun 2008 - 21 Oct 2019
No
AC8150
HANG SENG BANK, LIMITED
Type 1: dealing in securities
19 Jun 2008 - 21 Oct 2019
No
AC8150
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
19 Jun 2008 - 21 Oct 2019
No
AC8150
HANG SENG BANK, LIMITED
Type 1: dealing in securities
30 May 2008 - 12 Jun 2008
No
AC8150
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
30 May 2008 - 12 Jun 2008
No
AC8150
CITIC KA WAH BANK LIMITED
Type 1: dealing in securities
12 Jan 2006 - 12 May 2008
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.