Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LOU, HAN SHENG
Chinese Name of Relevant Individual
婁瀚升
HKMA Registration Number
AG3258
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
First date of engagement
29 Jun 2017
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT ADVISOR
Remarks
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
First date of engagement
29 Jun 2017
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT ADVISOR
Remarks
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
29 Jun 2017
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT ADVISOR
Remarks
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
29 Jun 2017
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT ADVISOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CITIBANK, N.A.
SFC CE number
AAP937
Business Address
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Name of Registered Institution
CITICORP INTERNATIONAL LIMITED
SFC CE number
AAJ895
Business Address
50TH FLOOR, CHAMPION TOWER, 3 GARDEN 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
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 29 Jun 2017
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
Since 29 Jun 2017
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
Since 29 Jun 2017
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
Since 29 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Apr 2014 - 16 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
29 Apr 2014 - 16 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
29 Apr 2014 - 16 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Apr 2014 - 15 Feb 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
LOU, HAN SHENG
:
Chinese Name of Relevant Individual
婁瀚升
:
HKMA Registration Number
AG3258
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CITIBANK, N.A.
Type 1: dealing in securities
29 Jun 2017
No
INVESTMENT ADVISOR
CITIBANK, N.A.
Type 4: advising on securities
29 Jun 2017
No
INVESTMENT ADVISOR
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
29 Jun 2017
No
INVESTMENT ADVISOR
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
29 Jun 2017
No
INVESTMENT ADVISOR
Name of Registered Institution
SFC CE number
Business Address
CITIBANK, N.A.
AAP937
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
CITICORP INTERNATIONAL LIMITED
AAJ895
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3258
CITIBANK, N.A.
Type 1: dealing in securities
Since 29 Jun 2017
No
AG3258
CITIBANK, N.A.
Type 4: advising on securities
Since 29 Jun 2017
No
AG3258
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 29 Jun 2017
No
AG3258
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
Since 29 Jun 2017
No
AG3258
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
29 Apr 2014 - 16 May 2017
No
AG3258
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
29 Apr 2014 - 16 May 2017
No
AG3258
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
29 Apr 2014 - 16 May 2017
No
AG3258
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
29 Apr 2014 - 15 Feb 2016
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.