Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
LO, KAI YIN
Chinese Name of Relevant Individual

盧啓妍
HKMA Registration Number
AG2906
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Oct 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CORPORATE BANKING
Remarks
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Oct 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CORPORATE BANKING
Remarks
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
28 Oct 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CORPORATE BANKING
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
LO, KAI YIN
:
Chinese Name of Relevant Individual
盧啓妍
:
HKMA Registration Number
AG2906
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
SUMITOMO MITSUI BANKING CORPORATION
Type 1: dealing in securities
28 Oct 2021
No
CORPORATE BANKING
SUMITOMO MITSUI BANKING CORPORATION
Type 4: advising on securities
28 Oct 2021
No
CORPORATE BANKING
SUMITOMO MITSUI BANKING CORPORATION
Type 6: advising on corporate finance
28 Oct 2021
No
CORPORATE BANKING