Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LU, JIE
Chinese Name of Relevant Individual
呂捷
HKMA Registration Number
AF4539
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
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jun 2016 - 29 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 6: advising on corporate finance
Effective Period
27 Jun 2016 - 29 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Sep 2013 - 26 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
25 Sep 2013 - 26 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jan 2012 - 24 Jun 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jan 2012 - 24 Jun 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
20 Jan 2012 - 24 Jun 2013
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
LU, JIE
:
Chinese Name of Relevant Individual
呂捷
:
HKMA Registration Number
AF4539
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4539
ROYAL BANK OF CANADA
Type 1: dealing in securities
27 Jun 2016 - 29 Mar 2018
No
AF4539
ROYAL BANK OF CANADA
Type 6: advising on corporate finance
27 Jun 2016 - 29 Mar 2018
No
AF4539
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Type 1: dealing in securities
25 Sep 2013 - 26 Jul 2016
No
AF4539
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Type 6: advising on corporate finance
25 Sep 2013 - 26 Jul 2016
No
AF4539
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
20 Jan 2012 - 24 Jun 2013
No
AF4539
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
20 Jan 2012 - 24 Jun 2013
No
AF4539
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
20 Jan 2012 - 24 Jun 2013
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.