Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, WING YIP JOSEPH
Chinese Name of Relevant Individual
盧永業
HKMA Registration Number
AC9694
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
29 Sep 2020
Is an Executive Officer? (Yes / No)
No
Capacity
STRUCTURED FINANCE, CORPORATE BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
SFC CE number
AAF138
Business Address
61-65, 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
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 29 Sep 2020
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
11 Apr 2018 - 27 Mar 2020
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
11 Apr 2018 - 27 Mar 2020
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
10 Dec 2014 - 27 Mar 2020
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
10 Dec 2014 - 27 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIXIS
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jun 2013 - 22 Oct 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIXIS
Regulated Activity
Type 4: advising on securities
Effective Period
26 Jun 2013 - 22 Oct 2014
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
13 Jun 2006 - 12 Apr 2013
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
13 Jun 2006 - 12 Apr 2013
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, WING YIP JOSEPH
:
Chinese Name of Relevant Individual
盧永業
:
HKMA Registration Number
AC9694
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
29 Sep 2020
No
STRUCTURED FINANCE, CORPORATE BANKING
Name of Registered Institution
SFC CE number
Business Address
CHINA CITIC BANK INTERNATIONAL LIMITED
AAF138
61-65, DES VOEUX ROAD CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9694
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 29 Sep 2020
No
AC9694
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Apr 2018 - 27 Mar 2020
No
AC9694
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Apr 2018 - 27 Mar 2020
No
AC9694
DBS BANK LTD.
Type 1: dealing in securities
10 Dec 2014 - 27 Mar 2020
No
AC9694
DBS BANK LTD.
Type 4: advising on securities
10 Dec 2014 - 27 Mar 2020
No
AC9694
NATIXIS
Type 1: dealing in securities
26 Jun 2013 - 22 Oct 2014
No
AC9694
NATIXIS
Type 4: advising on securities
26 Jun 2013 - 22 Oct 2014
No
AC9694
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
13 Jun 2006 - 12 Apr 2013
No
AC9694
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
13 Jun 2006 - 12 Apr 2013
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.