Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LU, KIN LOK
Chinese Name of Relevant Individual
呂建樂
HKMA Registration Number
AG9553
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
18 May 2019
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER, MIDDLE CAPITALIZATION, SME BANKING
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
18 May 2019
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER, MIDDLE CAPITALIZATION, SME BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DBS BANK (HONG KONG) LIMITED
SFC CE number
AAL664
Business Address
11TH FLOOR, THE CENTER, 99 QUEEN'S 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
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 18 May 2019
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
Since 18 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Sep 2017 - 31 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 Sep 2017 - 31 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jul 2017 - 20 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jul 2017 - 20 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Mar 2016 - 18 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Mar 2016 - 18 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Oct 2015 - 04 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
29 Oct 2015 - 04 Mar 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, KIN LOK
:
Chinese Name of Relevant Individual
呂建樂
:
HKMA Registration Number
AG9553
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
18 May 2019
No
RELATIONSHIP MANAGER, MIDDLE CAPITALIZATION, SME BANKING
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
18 May 2019
No
RELATIONSHIP MANAGER, MIDDLE CAPITALIZATION, SME BANKING
Name of Registered Institution
SFC CE number
Business Address
DBS BANK (HONG KONG) LIMITED
AAL664
11TH FLOOR, THE CENTER, 99 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9553
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 18 May 2019
No
AG9553
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 18 May 2019
No
AG9553
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
12 Sep 2017 - 31 Dec 2018
No
AG9553
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
12 Sep 2017 - 31 Dec 2018
No
AG9553
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
04 Jul 2017 - 20 Aug 2017
No
AG9553
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
04 Jul 2017 - 20 Aug 2017
No
AG9553
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
23 Mar 2016 - 18 Jun 2017
No
AG9553
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
23 Mar 2016 - 18 Jun 2017
No
AG9553
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
29 Oct 2015 - 04 Mar 2016
No
AG9553
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
29 Oct 2015 - 04 Mar 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.