Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, TSZ HO
Chinese Name of Relevant Individual
盧子豪
HKMA Registration Number
AF8406
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
10 Dec 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PREMIER RELATIONSHIP MANAGER
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
10 Dec 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PREMIER RELATIONSHIP MANAGER
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 10 Dec 2024
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 10 Dec 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
26 Apr 2022 - 03 Nov 2024
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
26 Apr 2022 - 03 Nov 2024
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
22 Feb 2020 - 03 Apr 2022
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
22 Feb 2020 - 03 Apr 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
20 Oct 2018 - 24 Nov 2019
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
20 Oct 2018 - 24 Nov 2019
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
11 Dec 2012 - 02 Oct 2018
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
11 Dec 2012 - 02 Oct 2018
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, TSZ HO
:
Chinese Name of Relevant Individual
盧子豪
:
HKMA Registration Number
AF8406
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
10 Dec 2024
No
PREMIER RELATIONSHIP MANAGER
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
10 Dec 2024
No
PREMIER RELATIONSHIP MANAGER
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)
AF8406
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 10 Dec 2024
No
AF8406
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 10 Dec 2024
No
AF8406
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 Apr 2022 - 03 Nov 2024
No
AF8406
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
26 Apr 2022 - 03 Nov 2024
No
AF8406
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
22 Feb 2020 - 03 Apr 2022
No
AF8406
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
22 Feb 2020 - 03 Apr 2022
No
AF8406
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Oct 2018 - 24 Nov 2019
No
AF8406
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Oct 2018 - 24 Nov 2019
No
AF8406
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
11 Dec 2012 - 02 Oct 2018
No
AF8406
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
11 Dec 2012 - 02 Oct 2018
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.