Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, HO CHI
Chinese Name of Relevant Individual
盧浩志
HKMA Registration Number
AC9529
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
First date of engagement
09 Sep 2021
Is an Executive Officer? (Yes / No)
No
Capacity
STRUCTURED PRODUCTS SALES
Remarks
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
First date of engagement
09 Sep 2021
Is an Executive Officer? (Yes / No)
No
Capacity
STRUCTURED PRODUCTS SALES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
SFC CE number
ABZ544
Business Address
26/F, AIA CENTRAL, 1 CONNAUGHT ROAD CENTRAL, 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
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 09 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
Since 09 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jan 2018 - 30 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jan 2018 - 30 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Nov 2016 - 04 Jan 2018
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
28 Nov 2016 - 04 Jan 2018
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
16 Apr 2013 - 25 Nov 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
16 Apr 2013 - 25 Nov 2016
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
02 Apr 2011 - 05 Apr 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
02 Apr 2011 - 05 Apr 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
02 Apr 2011 - 05 Apr 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Mar 2008 - 05 Apr 2013
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
23 Jul 2007 - 02 Mar 2008
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 2006 - 22 Apr 2007
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
30 May 2006 - 22 Apr 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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, HO CHI
:
Chinese Name of Relevant Individual
盧浩志
:
HKMA Registration Number
AC9529
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
09 Sep 2021
No
STRUCTURED PRODUCTS SALES
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
09 Sep 2021
No
STRUCTURED PRODUCTS SALES
Name of Registered Institution
SFC CE number
Business Address
UNION BANCAIRE PRIVÉE, UBP SA
ABZ544
26/F, AIA CENTRAL, 1 CONNAUGHT ROAD CENTRAL, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9529
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
Since 09 Sep 2021
No
AC9529
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
Since 09 Sep 2021
No
AC9529
COMMERZBANK AG
Type 1: dealing in securities
10 Jan 2018 - 30 Apr 2019
No
AC9529
COMMERZBANK AG
Type 4: advising on securities
10 Jan 2018 - 30 Apr 2019
No
AC9529
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 Nov 2016 - 04 Jan 2018
No
AC9529
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 Nov 2016 - 04 Jan 2018
No
AC9529
BARCLAYS BANK PLC
Type 1: dealing in securities
16 Apr 2013 - 25 Nov 2016
No
AC9529
BARCLAYS BANK PLC
Type 4: advising on securities
16 Apr 2013 - 25 Nov 2016
No
AC9529
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
02 Apr 2011 - 05 Apr 2013
No
AC9529
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
02 Apr 2011 - 05 Apr 2013
No
AC9529
DBS BANK LTD.
Type 4: advising on securities
02 Apr 2011 - 05 Apr 2013
No
AC9529
DBS BANK LTD.
Type 1: dealing in securities
01 Mar 2008 - 05 Apr 2013
No
AC9529
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Jul 2007 - 02 Mar 2008
No
AC9529
HANG SENG BANK, LIMITED
Type 1: dealing in securities
30 May 2006 - 22 Apr 2007
No
AC9529
HANG SENG BANK, LIMITED
Type 4: advising on securities
30 May 2006 - 22 Apr 2007
No
AC9529
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
30 May 2006 - 22 Apr 2007
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.