Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, CHIA-CHEN
Chinese Name of Relevant Individual
羅家真
HKMA Registration Number
AF4650
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
20 Aug 2019 - 03 Jul 2020
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
20 Aug 2019 - 03 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Feb 2017 - 28 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
09 Feb 2017 - 28 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
09 Feb 2017 - 28 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Jan 2012 - 23 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
30 Jan 2012 - 23 May 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
LO, CHIA-CHEN
:
Chinese Name of Relevant Individual
羅家真
:
HKMA Registration Number
AF4650
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4650
LGT BANK AG
Type 1: dealing in securities
20 Aug 2019 - 03 Jul 2020
No
AF4650
LGT BANK AG
Type 4: advising on securities
20 Aug 2019 - 03 Jul 2020
No
AF4650
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
09 Feb 2017 - 28 Feb 2019
No
AF4650
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
09 Feb 2017 - 28 Feb 2019
No
AF4650
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
09 Feb 2017 - 28 Feb 2019
No
AF4650
BANK MORGAN STANLEY AG
Type 1: dealing in securities
30 Jan 2012 - 23 May 2013
No
AF4650
BANK MORGAN STANLEY AG
Type 2: dealing in futures contracts
30 Jan 2012 - 23 May 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.