Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LU, SHEN
Chinese Name of Relevant Individual
盧慎
HKMA Registration Number
AG2627
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
ING BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Apr 2019 - 04 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ING BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
29 Apr 2019 - 04 Nov 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
24 Feb 2014 - 26 Oct 2015
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
24 Feb 2014 - 26 Oct 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
LU, SHEN
:
Chinese Name of Relevant Individual
盧慎
:
HKMA Registration Number
AG2627
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG2627
ING BANK N.V.
Type 1: dealing in securities
29 Apr 2019 - 04 Nov 2022
No
AG2627
ING BANK N.V.
Type 4: advising on securities
29 Apr 2019 - 04 Nov 2022
No
AG2627
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
24 Feb 2014 - 26 Oct 2015
No
AG2627
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
24 Feb 2014 - 26 Oct 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.