Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, HO YI
Chinese Name of Relevant Individual
盧可兒
HKMA Registration Number
AF8562
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
14 Aug 2019
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
14 Aug 2019
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Aug 2019
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
14 Aug 2019
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
LGT BANK AG
SFC CE number
AWF529
Business Address
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, 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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 14 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
Since 14 Aug 2019
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
Since 14 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
Since 14 Aug 2019
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
20 Jul 2017 - 02 Aug 2019
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
20 Jul 2017 - 02 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jul 2014 - 27 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jul 2014 - 27 Jun 2017
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
07 Jan 2013 - 27 Jun 2014
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
07 Jan 2013 - 27 Jun 2014
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, HO YI
:
Chinese Name of Relevant Individual
盧可兒
:
HKMA Registration Number
AF8562
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
14 Aug 2019
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 2: dealing in futures contracts
14 Aug 2019
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 4: advising on securities
14 Aug 2019
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 5: advising on futures contracts
14 Aug 2019
No
STAFF OF WEALTH MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
LGT BANK AG
AWF529
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8562
LGT BANK AG
Type 1: dealing in securities
Since 14 Aug 2019
No
AF8562
LGT BANK AG
Type 2: dealing in futures contracts
Since 14 Aug 2019
No
AF8562
LGT BANK AG
Type 4: advising on securities
Since 14 Aug 2019
No
AF8562
LGT BANK AG
Type 5: advising on futures contracts
Since 14 Aug 2019
No
AF8562
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
20 Jul 2017 - 02 Aug 2019
No
AF8562
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
20 Jul 2017 - 02 Aug 2019
No
AF8562
CREDIT SUISSE AG
Type 1: dealing in securities
09 Jul 2014 - 27 Jun 2017
No
AF8562
CREDIT SUISSE AG
Type 4: advising on securities
09 Jul 2014 - 27 Jun 2017
No
AF8562
BANK MORGAN STANLEY AG
Type 1: dealing in securities
07 Jan 2013 - 27 Jun 2014
No
AF8562
BANK MORGAN STANLEY AG
Type 2: dealing in futures contracts
07 Jan 2013 - 27 Jun 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.