Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, KA HEI
Chinese Name of Relevant Individual
盧嘉熙
HKMA Registration Number
AG0658
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
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Nov 2018 - 22 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
21 Nov 2018 - 22 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Nov 2018 - 22 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Nov 2018 - 22 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Sep 2017 - 16 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
21 Sep 2017 - 16 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
10 May 2014 - 08 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
10 May 2014 - 08 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
Effective Period
10 May 2014 - 08 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Aug 2013 - 31 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Aug 2013 - 31 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Aug 2013 - 31 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
14 Aug 2013 - 31 Mar 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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, KA HEI
:
Chinese Name of Relevant Individual
盧嘉熙
:
HKMA Registration Number
AG0658
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0658
CITIBANK, N.A.
Type 1: dealing in securities
21 Nov 2018 - 22 Jul 2021
No
AG0658
CITIBANK, N.A.
Type 4: advising on securities
21 Nov 2018 - 22 Jul 2021
No
AG0658
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
21 Nov 2018 - 22 Jul 2021
No
AG0658
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
21 Nov 2018 - 22 Jul 2021
No
AG0658
UBS AG
Type 1: dealing in securities
21 Sep 2017 - 16 Nov 2018
No
AG0658
UBS AG
Type 4: advising on securities
21 Sep 2017 - 16 Nov 2018
No
AG0658
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
10 May 2014 - 08 Jul 2017
No
AG0658
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
10 May 2014 - 08 Jul 2017
No
AG0658
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
10 May 2014 - 08 Jul 2017
No
AG0658
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
14 Aug 2013 - 31 Mar 2014
No
AG0658
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
14 Aug 2013 - 31 Mar 2014
No
AG0658
DBS BANK LTD.
Type 1: dealing in securities
14 Aug 2013 - 31 Mar 2014
No
AG0658
DBS BANK LTD.
Type 4: advising on securities
14 Aug 2013 - 31 Mar 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.