Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, FAI
Chinese Name of Relevant Individual
羅暉
HKMA Registration Number
AC9981
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
26 Sep 2015
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR DEALER
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
26 Sep 2015
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR DEALER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 26 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 26 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Aug 2013 - 06 Nov 2013
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
27 May 2011 - 23 Jan 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Apr 2011 - 10 May 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Mar 2008 - 10 May 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jul 2006 - 12 Sep 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, FAI
:
Chinese Name of Relevant Individual
羅暉
:
HKMA Registration Number
AC9981
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
26 Sep 2015
No
SENIOR DEALER
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
26 Sep 2015
No
SENIOR DEALER
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9981
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 26 Sep 2015
No
AC9981
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 26 Sep 2015
No
AC9981
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
09 Aug 2013 - 06 Nov 2013
No
AC9981
BARCLAYS BANK PLC
Type 1: dealing in securities
27 May 2011 - 23 Jan 2013
No
AC9981
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
29 Apr 2011 - 10 May 2011
No
AC9981
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
21 Mar 2008 - 10 May 2011
No
AC9981
ABN AMRO BANK N.V.
Type 1: dealing in securities
04 Jul 2006 - 12 Sep 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.