Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, TIK YAN TRACEY
Chinese Name of Relevant Individual
盧荻絪
HKMA Registration Number
AF6267
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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jan 2023 - 16 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jan 2023 - 16 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jun 2021 - 20 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jun 2021 - 20 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jun 2018 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
29 Jun 2018 - 30 Apr 2021
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
28 Dec 2017 - 20 Jun 2018
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
28 Dec 2017 - 20 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jun 2012 - 16 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Jun 2012 - 16 Dec 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, TIK YAN TRACEY
:
Chinese Name of Relevant Individual
盧荻絪
:
HKMA Registration Number
AF6267
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6267
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Jan 2023 - 16 Feb 2026
No
AF6267
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Jan 2023 - 16 Feb 2026
No
AF6267
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
10 Jun 2021 - 20 Dec 2022
No
AF6267
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
10 Jun 2021 - 20 Dec 2022
No
AF6267
EFG BANK AG
Type 1: dealing in securities
29 Jun 2018 - 30 Apr 2021
No
AF6267
EFG BANK AG
Type 4: advising on securities
29 Jun 2018 - 30 Apr 2021
No
AF6267
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
28 Dec 2017 - 20 Jun 2018
No
AF6267
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
28 Dec 2017 - 20 Jun 2018
No
AF6267
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Jun 2012 - 16 Dec 2017
No
AF6267
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Jun 2012 - 16 Dec 2017
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.