Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, KA YAN
Chinese Name of Relevant Individual
HKMA Registration Number
AF2374
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 2: dealing in futures contracts
Effective Period
20 Jun 2014 - 30 Sep 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
20 Jun 2014 - 30 Sep 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
14 May 2013 - 30 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Aug 2011 - 30 Sep 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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 YAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF2374
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2374
LGT BANK AG
Type 2: dealing in futures contracts
20 Jun 2014 - 30 Sep 2021
No
AF2374
LGT BANK AG
Type 5: advising on futures contracts
20 Jun 2014 - 30 Sep 2021
No
AF2374
LGT BANK AG
Type 4: advising on securities
14 May 2013 - 30 Sep 2021
No
AF2374
LGT BANK AG
Type 1: dealing in securities
10 Aug 2011 - 30 Sep 2021
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.