Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, LAI WA
Chinese Name of Relevant Individual
羅麗華
HKMA Registration Number
AF8322
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
25 Jan 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Jan 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
First date of engagement
25 Jan 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HANG SENG BANK, LIMITED
SFC CE number
AAH297
Business Address
HANG SENG BANK BLDG., 83 DES VOEUX 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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 25 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 25 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
Since 25 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jul 2022 - 09 Nov 2022
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
19 Jul 2022 - 09 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Aug 2021 - 30 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
30 Aug 2021 - 30 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
30 Aug 2021 - 30 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2016 - 31 Jul 2021
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
16 Sep 2016 - 31 Jul 2021
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
19 May 2016 - 28 Aug 2016
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
19 May 2016 - 28 Aug 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
01 Dec 2012 - 20 Mar 2016
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
01 Dec 2012 - 20 Mar 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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 WA
:
Chinese Name of Relevant Individual
羅麗華
:
HKMA Registration Number
AF8322
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HANG SENG BANK, LIMITED
Type 1: dealing in securities
25 Jan 2024
No
CUSTOMER SERVICE
HANG SENG BANK, LIMITED
Type 4: advising on securities
25 Jan 2024
No
CUSTOMER SERVICE
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
25 Jan 2024
No
CUSTOMER SERVICE
Name of Registered Institution
SFC CE number
Business Address
HANG SENG BANK, LIMITED
AAH297
HANG SENG BANK BLDG., 83 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8322
HANG SENG BANK, LIMITED
Type 1: dealing in securities
Since 25 Jan 2024
No
AF8322
HANG SENG BANK, LIMITED
Type 4: advising on securities
Since 25 Jan 2024
No
AF8322
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
Since 25 Jan 2024
No
AF8322
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
19 Jul 2022 - 09 Nov 2022
No
AF8322
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
19 Jul 2022 - 09 Nov 2022
No
AF8322
HANG SENG BANK, LIMITED
Type 1: dealing in securities
30 Aug 2021 - 30 Jun 2022
No
AF8322
HANG SENG BANK, LIMITED
Type 4: advising on securities
30 Aug 2021 - 30 Jun 2022
No
AF8322
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
30 Aug 2021 - 30 Jun 2022
No
AF8322
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Sep 2016 - 31 Jul 2021
No
AF8322
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Sep 2016 - 31 Jul 2021
No
AF8322
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
19 May 2016 - 28 Aug 2016
No
AF8322
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
19 May 2016 - 28 Aug 2016
No
AF8322
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Dec 2012 - 20 Mar 2016
No
AF8322
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Dec 2012 - 20 Mar 2016
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.