Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, CHIU LAM ALEX
Chinese Name of Relevant Individual
勞昭霖
HKMA Registration Number
AH0175
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
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Aug 2019 - 12 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
30 Aug 2019 - 12 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
Effective Period
30 Aug 2019 - 12 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jan 2016 - 15 Feb 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jan 2016 - 15 Feb 2017
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
LO, CHIU LAM ALEX
:
Chinese Name of Relevant Individual
勞昭霖
:
HKMA Registration Number
AH0175
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH0175
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
30 Aug 2019 - 12 Feb 2020
No
AH0175
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
30 Aug 2019 - 12 Feb 2020
No
AH0175
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
30 Aug 2019 - 12 Feb 2020
No
AH0175
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
05 Jan 2016 - 15 Feb 2017
No
AH0175
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
05 Jan 2016 - 15 Feb 2017
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.