Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, LAI PING
Chinese Name of Relevant Individual
羅麗萍
HKMA Registration Number
AF5298
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
09 Jun 2015
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH MANAGER (PREMIER SERVICE)
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
09 Jun 2015
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH MANAGER (PREMIER SERVICE)
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 09 Jun 2015
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
Since 09 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Oct 2014 - 01 Jan 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
31 Oct 2014 - 01 Jan 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jul 2012 - 04 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Mar 2012 - 04 May 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, LAI PING
:
Chinese Name of Relevant Individual
羅麗萍
:
HKMA Registration Number
AF5298
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
09 Jun 2015
No
ASSISTANT BRANCH MANAGER (PREMIER SERVICE)
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
09 Jun 2015
No
ASSISTANT BRANCH MANAGER (PREMIER SERVICE)
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF5298
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 09 Jun 2015
No
AF5298
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 09 Jun 2015
No
AF5298
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
31 Oct 2014 - 01 Jan 2015
No
AF5298
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
31 Oct 2014 - 01 Jan 2015
No
AF5298
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
14 Jul 2012 - 04 May 2014
No
AF5298
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
14 Mar 2012 - 04 May 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.