Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSUI, KA LOK
Chinese Name of Relevant Individual
徐家樂
HKMA Registration Number
AF8982
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
07 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP AND PORTFOLIO SALES
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
07 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP AND PORTFOLIO SALES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 07 Sep 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
Since 07 Sep 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
02 Mar 2016 - 12 Jan 2022
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
13 Aug 2014 - 31 Aug 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
13 Aug 2014 - 31 Aug 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
08 Feb 2013 - 03 Jul 2014
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
08 Feb 2013 - 03 Jul 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
TSUI, KA LOK
:
Chinese Name of Relevant Individual
徐家樂
:
HKMA Registration Number
AF8982
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Sep 2022
No
RELATIONSHIP AND PORTFOLIO SALES
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Sep 2022
No
RELATIONSHIP AND PORTFOLIO SALES
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8982
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 07 Sep 2022
No
AF8982
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 07 Sep 2022
No
AF8982
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
02 Mar 2016 - 12 Jan 2022
No
AF8982
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
13 Aug 2014 - 31 Aug 2015
No
AF8982
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
13 Aug 2014 - 31 Aug 2015
No
AF8982
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
08 Feb 2013 - 03 Jul 2014
No
AF8982
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
08 Feb 2013 - 03 Jul 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.