Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, SHUI PING ADELA
Chinese Name of Relevant Individual
盧瑞冰
HKMA Registration Number
AF0496
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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jun 2021 - 22 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
18 Jun 2021 - 22 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jun 2021 - 22 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
18 Jun 2021 - 22 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Mar 2018 - 28 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
07 Mar 2018 - 28 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jun 2015 - 27 Feb 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
16 Jun 2015 - 27 Feb 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Nov 2013 - 29 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
12 Nov 2013 - 29 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Oct 2011 - 15 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Mar 2011 - 31 Jul 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
18 Mar 2011 - 31 Jul 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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, SHUI PING ADELA
:
Chinese Name of Relevant Individual
盧瑞冰
:
HKMA Registration Number
AF0496
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0496
LGT BANK AG
Type 1: dealing in securities
18 Jun 2021 - 22 Nov 2021
No
AF0496
LGT BANK AG
Type 2: dealing in futures contracts
18 Jun 2021 - 22 Nov 2021
No
AF0496
LGT BANK AG
Type 4: advising on securities
18 Jun 2021 - 22 Nov 2021
No
AF0496
LGT BANK AG
Type 5: advising on futures contracts
18 Jun 2021 - 22 Nov 2021
No
AF0496
EFG BANK AG
Type 1: dealing in securities
07 Mar 2018 - 28 Jun 2019
No
AF0496
EFG BANK AG
Type 4: advising on securities
07 Mar 2018 - 28 Jun 2019
No
AF0496
CTBC BANK CO., LTD.
Type 1: dealing in securities
16 Jun 2015 - 27 Feb 2018
No
AF0496
CTBC BANK CO., LTD.
Type 4: advising on securities
16 Jun 2015 - 27 Feb 2018
No
AF0496
CREDIT SUISSE AG
Type 1: dealing in securities
12 Nov 2013 - 29 May 2015
No
AF0496
CREDIT SUISSE AG
Type 4: advising on securities
12 Nov 2013 - 29 May 2015
No
AF0496
UBS AG
Type 1: dealing in securities
29 Oct 2011 - 15 Oct 2013
No
AF0496
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
18 Mar 2011 - 31 Jul 2011
No
AF0496
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
18 Mar 2011 - 31 Jul 2011
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.