Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, SZE HIM
Chinese Name of Relevant Individual
盧思謙
HKMA Registration Number
AG2270
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
16 May 2023
Is an Executive Officer? (Yes / No)
No
Capacity
COVERAGE, CORPORATE & INVESTMENT BANKING
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
16 May 2023
Is an Executive Officer? (Yes / No)
No
Capacity
COVERAGE, CORPORATE & INVESTMENT BANKING
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
16 May 2023
Is an Executive Officer? (Yes / No)
No
Capacity
COVERAGE, CORPORATE & INVESTMENT BANKING
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 16 May 2023
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 16 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 16 May 2023
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
27 May 2021 - 14 May 2023
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
27 May 2021 - 14 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Mar 2021 - 16 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
19 Mar 2021 - 16 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jan 2014 - 07 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jan 2014 - 07 Jul 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, SZE HIM
:
Chinese Name of Relevant Individual
盧思謙
:
HKMA Registration Number
AG2270
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
16 May 2023
No
COVERAGE, CORPORATE & INVESTMENT BANKING
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 May 2023
No
COVERAGE, CORPORATE & INVESTMENT BANKING
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
16 May 2023
No
COVERAGE, CORPORATE & INVESTMENT BANKING
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)
AG2270
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 16 May 2023
No
AG2270
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 16 May 2023
No
AG2270
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
Since 16 May 2023
No
AG2270
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 May 2021 - 14 May 2023
No
AG2270
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
27 May 2021 - 14 May 2023
No
AG2270
UNITED OVERSEAS BANK LTD.
Type 1: dealing in securities
19 Mar 2021 - 16 Apr 2021
No
AG2270
UNITED OVERSEAS BANK LTD.
Type 4: advising on securities
19 Mar 2021 - 16 Apr 2021
No
AG2270
COMMERZBANK AG
Type 1: dealing in securities
18 Jan 2014 - 07 Jul 2014
No
AG2270
COMMERZBANK AG
Type 4: advising on securities
18 Jan 2014 - 07 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.