Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HO, YUI LUM
Chinese Name of Relevant Individual
HKMA Registration Number
AF9613
Other HKMA Registration Number(s)
AE0829, AG6331, AI3036
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
Since 14 Oct 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
Since 14 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Oct 2016 - 29 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
26 Oct 2016 - 29 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Sep 2016 - 24 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
21 Sep 2016 - 24 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jul 2016 - 30 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
26 Jul 2016 - 30 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jun 2016 - 18 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
15 Jun 2016 - 18 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Apr 2016 - 16 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
13 Apr 2016 - 16 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Mar 2016 - 11 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
09 Mar 2016 - 11 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jan 2016 - 22 Jan 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 42
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
HO, YUI LUM
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF9613
:
Other HKMA Registration Number(s)
AE0829, AG6331, AI3036
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI3036
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 14 Oct 2019
No
AI3036
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 14 Oct 2019
No
AG6331
BARCLAYS BANK PLC
Type 1: dealing in securities
26 Oct 2016 - 29 Oct 2016
No
AG6331
BARCLAYS BANK PLC
Type 4: advising on securities
26 Oct 2016 - 29 Oct 2016
No
AG6331
BARCLAYS BANK PLC
Type 1: dealing in securities
21 Sep 2016 - 24 Sep 2016
No
AG6331
BARCLAYS BANK PLC
Type 4: advising on securities
21 Sep 2016 - 24 Sep 2016
No
AG6331
BARCLAYS BANK PLC
Type 1: dealing in securities
26 Jul 2016 - 30 Jul 2016
No
AG6331
BARCLAYS BANK PLC
Type 4: advising on securities
26 Jul 2016 - 30 Jul 2016
No
AG6331
BARCLAYS BANK PLC
Type 1: dealing in securities
15 Jun 2016 - 18 Jun 2016
No
AG6331
BARCLAYS BANK PLC
Type 4: advising on securities
15 Jun 2016 - 18 Jun 2016
No
AG6331
BARCLAYS BANK PLC
Type 1: dealing in securities
13 Apr 2016 - 16 Apr 2016
No
AG6331
BARCLAYS BANK PLC
Type 4: advising on securities
13 Apr 2016 - 16 Apr 2016
No
AG6331
BARCLAYS BANK PLC
Type 1: dealing in securities
09 Mar 2016 - 11 Mar 2016
No
AG6331
BARCLAYS BANK PLC
Type 4: advising on securities
09 Mar 2016 - 11 Mar 2016
No
AG6331
BARCLAYS BANK PLC
Type 1: dealing in securities
18 Jan 2016 - 22 Jan 2016
No
AG6331
BARCLAYS BANK PLC
Type 4: advising on securities
18 Jan 2016 - 22 Jan 2016
No
AG6331
BARCLAYS BANK PLC
Type 1: dealing in securities
24 Aug 2015 - 26 Aug 2015
No
AG6331
BARCLAYS BANK PLC
Type 4: advising on securities
24 Aug 2015 - 26 Aug 2015
No
AG6331
BARCLAYS BANK PLC
Type 1: dealing in securities
23 Jul 2015 - 24 Jul 2015
No
AG6331
BARCLAYS BANK PLC
Type 4: advising on securities
23 Jul 2015 - 24 Jul 2015
No
AG6331
BARCLAYS BANK PLC
Type 1: dealing in securities
29 Jan 2015 - 31 Jan 2015
No
AG6331
BARCLAYS BANK PLC
Type 4: advising on securities
29 Jan 2015 - 31 Jan 2015
No
AF9613
BARCLAYS BANK PLC
Type 1: dealing in securities
05 Nov 2014 - 07 Nov 2014
No
AF9613
BARCLAYS BANK PLC
Type 4: advising on securities
05 Nov 2014 - 07 Nov 2014
No
AF9613
BARCLAYS BANK PLC
Type 1: dealing in securities
04 Sep 2014 - 06 Sep 2014
No
AF9613
BARCLAYS BANK PLC
Type 4: advising on securities
04 Sep 2014 - 06 Sep 2014
No
AF9613
BARCLAYS BANK PLC
Type 1: dealing in securities
10 Jul 2014 - 12 Jul 2014
No
AF9613
BARCLAYS BANK PLC
Type 4: advising on securities
10 Jul 2014 - 12 Jul 2014
No
AF9613
BARCLAYS BANK PLC
Type 1: dealing in securities
12 Mar 2014 - 14 Mar 2014
No
AF9613
BARCLAYS BANK PLC
Type 4: advising on securities
12 Mar 2014 - 14 Mar 2014
No
AF9613
BARCLAYS BANK PLC
Type 1: dealing in securities
13 Nov 2013 - 14 Nov 2013
No
AF9613
BARCLAYS BANK PLC
Type 4: advising on securities
13 Nov 2013 - 14 Nov 2013
No
AF9613
BARCLAYS BANK PLC
Type 1: dealing in securities
30 Oct 2013 - 01 Nov 2013
No
AF9613
BARCLAYS BANK PLC
Type 4: advising on securities
30 Oct 2013 - 01 Nov 2013
No
AF9613
BARCLAYS BANK PLC
Type 1: dealing in securities
21 Jul 2013 - 23 Jul 2013
No
AF9613
BARCLAYS BANK PLC
Type 4: advising on securities
21 Jul 2013 - 23 Jul 2013
No
AF9613
BARCLAYS BANK PLC
Type 1: dealing in securities
23 Jun 2013 - 26 Jun 2013
No
AF9613
BARCLAYS BANK PLC
Type 4: advising on securities
23 Jun 2013 - 26 Jun 2013
No
AF9613
BARCLAYS BANK PLC
Type 1: dealing in securities
25 Apr 2013 - 26 Apr 2013
No
AF9613
BARCLAYS BANK PLC
Type 4: advising on securities
25 Apr 2013 - 26 Apr 2013
No
AE0829
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
22 Sep 2008 - 24 Sep 2008
No
AE0829
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
22 Sep 2008 - 24 Sep 2008
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.