Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, KA CHI
Chinese Name of Relevant Individual
盧家池
HKMA Registration Number
AF1456
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
07 May 2026
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS AND RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
07 May 2026
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS AND RELATIONSHIP MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CMB WING LUNG BANK LIMITED
SFC CE number
AAF294
Business Address
43-49 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
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 07 May 2026
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
Since 07 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Aug 2021 - 05 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 Aug 2021 - 05 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Aug 2021 - 05 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
13 Aug 2021 - 05 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jun 2018 - 16 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jun 2018 - 16 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Nov 2014 - 30 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
19 Nov 2014 - 30 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Jun 2011 - 27 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Jun 2011 - 27 Jul 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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, KA CHI
:
Chinese Name of Relevant Individual
盧家池
:
HKMA Registration Number
AF1456
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
07 May 2026
No
BUSINESS AND RELATIONSHIP MANAGEMENT
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
07 May 2026
No
BUSINESS AND RELATIONSHIP MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
CMB WING LUNG BANK LIMITED
AAF294
43-49 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1456
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
Since 07 May 2026
No
AF1456
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
Since 07 May 2026
No
AF1456
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
13 Aug 2021 - 05 Sep 2025
No
AF1456
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
13 Aug 2021 - 05 Sep 2025
No
AF1456
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
13 Aug 2021 - 05 Sep 2025
No
AF1456
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
13 Aug 2021 - 05 Sep 2025
No
AF1456
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
06 Jun 2018 - 16 Dec 2020
No
AF1456
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
06 Jun 2018 - 16 Dec 2020
No
AF1456
WING LUNG BANK LIMITED
Type 1: dealing in securities
19 Nov 2014 - 30 Nov 2017
No
AF1456
WING LUNG BANK LIMITED
Type 4: advising on securities
19 Nov 2014 - 30 Nov 2017
No
AF1456
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
02 Jun 2011 - 27 Jul 2014
No
AF1456
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
02 Jun 2011 - 27 Jul 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.