Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, LOK YIU
Chinese Name of Relevant Individual
黃樂瑤
HKMA Registration Number
AH1231
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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jun 2021 - 24 Jan 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jun 2021 - 24 Jan 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Dec 2020 - 13 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
24 Dec 2020 - 13 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Dec 2020 - 13 Apr 2021
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
24 Dec 2020 - 13 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Nov 2019 - 05 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Nov 2019 - 05 Nov 2020
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
01 Aug 2017 - 30 Sep 2019
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
01 Aug 2017 - 30 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Apr 2016 - 17 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Apr 2016 - 17 May 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
WONG, LOK YIU
:
Chinese Name of Relevant Individual
黃樂瑤
:
HKMA Registration Number
AH1231
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1231
HANG SENG BANK, LIMITED
Type 1: dealing in securities
09 Jun 2021 - 24 Jan 2022
No
AH1231
HANG SENG BANK, LIMITED
Type 4: advising on securities
09 Jun 2021 - 24 Jan 2022
No
AH1231
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
24 Dec 2020 - 13 Apr 2021
No
AH1231
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
24 Dec 2020 - 13 Apr 2021
No
AH1231
CITIBANK, N.A.
Type 1: dealing in securities
24 Dec 2020 - 13 Apr 2021
No
AH1231
CITIBANK, N.A.
Type 4: advising on securities
24 Dec 2020 - 13 Apr 2021
No
AH1231
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 Nov 2019 - 05 Nov 2020
No
AH1231
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
27 Nov 2019 - 05 Nov 2020
No
AH1231
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Aug 2017 - 30 Sep 2019
No
AH1231
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Aug 2017 - 30 Sep 2019
No
AH1231
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
14 Apr 2016 - 17 May 2017
No
AH1231
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
14 Apr 2016 - 17 May 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.