Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, SUNG KWAN
Chinese Name of Relevant Individual
羅崇均
HKMA Registration Number
AF0172
Current Registration
Not Applicable
Business Address
Not Applicable
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
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Sep 2019 - 03 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
26 Sep 2019 - 03 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Sep 2017 - 12 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
22 Sep 2017 - 12 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Aug 2014 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 4: advising on securities
Effective Period
14 Aug 2014 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 9: asset management
Effective Period
14 Aug 2014 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Feb 2011 - 04 Aug 2014
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, SUNG KWAN
:
Chinese Name of Relevant Individual
羅崇均
:
HKMA Registration Number
AF0172
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0172
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
26 Sep 2019 - 03 Sep 2021
No
AF0172
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
26 Sep 2019 - 03 Sep 2021
No
AF0172
UBS AG
Type 1: dealing in securities
22 Sep 2017 - 12 Jul 2019
No
AF0172
UBS AG
Type 4: advising on securities
22 Sep 2017 - 12 Jul 2019
No
AF0172
COUTTS & CO AG
Type 1: dealing in securities
14 Aug 2014 - 08 Apr 2016
No
AF0172
COUTTS & CO AG
Type 4: advising on securities
14 Aug 2014 - 08 Apr 2016
No
AF0172
COUTTS & CO AG
Type 9: asset management
14 Aug 2014 - 08 Apr 2016
No
AF0172
UBS AG
Type 1: dealing in securities
26 Feb 2011 - 04 Aug 2014
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.