Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HO, GOLDIE LOK SUM
Chinese Name of Relevant Individual
HKMA Registration Number
AG6550
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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Apr 2015 - 12 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
17 Apr 2015 - 12 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
17 Apr 2015 - 12 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
17 Apr 2015 - 12 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Feb 2015 - 15 Apr 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
HO, GOLDIE LOK SUM
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG6550
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6550
LGT BANK AG
Type 1: dealing in securities
17 Apr 2015 - 12 Apr 2023
No
AG6550
LGT BANK AG
Type 2: dealing in futures contracts
17 Apr 2015 - 12 Apr 2023
No
AG6550
LGT BANK AG
Type 4: advising on securities
17 Apr 2015 - 12 Apr 2023
No
AG6550
LGT BANK AG
Type 5: advising on futures contracts
17 Apr 2015 - 12 Apr 2023
No
AG6550
UBS AG
Type 1: dealing in securities
17 Feb 2015 - 15 Apr 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.