Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, WAI YEE
Chinese Name of Relevant Individual
盧慧宜
HKMA Registration Number
AF9651
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
10 Jan 2025
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICES OFFICER
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
10 Jan 2025
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICES OFFICER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
SFC CE number
BJN782
Business Address
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, 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
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 10 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 10 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Sep 2024 - 27 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Sep 2024 - 27 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 May 2024 - 25 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Mar 2019 - 25 Aug 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
20 Feb 2016 - 02 Jan 2019
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
20 Feb 2016 - 02 Jan 2019
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 Apr 2013 - 23 Dec 2015
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 Apr 2013 - 23 Dec 2015
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 Apr 2013 - 23 Dec 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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, WAI YEE
:
Chinese Name of Relevant Individual
盧慧宜
:
HKMA Registration Number
AF9651
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
10 Jan 2025
No
CUSTOMER SERVICES OFFICER
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
10 Jan 2025
No
CUSTOMER SERVICES OFFICER
Name of Registered Institution
SFC CE number
Business Address
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
BJN782
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9651
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
Since 10 Jan 2025
No
AF9651
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
Since 10 Jan 2025
No
AF9651
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
20 Sep 2024 - 27 Oct 2024
No
AF9651
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
20 Sep 2024 - 27 Oct 2024
No
AF9651
BANK OF CHINA INTERNATIONAL LIMITED
Type 4: advising on securities
04 May 2024 - 25 Aug 2024
No
AF9651
BANK OF CHINA INTERNATIONAL LIMITED
Type 1: dealing in securities
16 Mar 2019 - 25 Aug 2024
No
AF9651
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
20 Feb 2016 - 02 Jan 2019
No
AF9651
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
20 Feb 2016 - 02 Jan 2019
No
AF9651
HANG SENG BANK, LIMITED
Type 1: dealing in securities
30 Apr 2013 - 23 Dec 2015
No
AF9651
HANG SENG BANK, LIMITED
Type 4: advising on securities
30 Apr 2013 - 23 Dec 2015
No
AF9651
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
30 Apr 2013 - 23 Dec 2015
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.