Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, WAI TSUN BRIAN
Chinese Name of Relevant Individual
盧瑋浚
HKMA Registration Number
AH1396
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
10 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGER SALES CONDUCT AND QUALITY
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
10 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGER SALES CONDUCT AND QUALITY
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 10 Mar 2026
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
Since 10 Mar 2026
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
05 May 2021 - 01 Feb 2024
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
05 May 2021 - 01 Feb 2024
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
05 May 2021 - 01 Feb 2024
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
05 May 2021 - 01 Feb 2024
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
18 May 2017 - 31 Mar 2021
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
18 May 2017 - 31 Mar 2021
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
05 May 2016 - 26 Jun 2016
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
05 May 2016 - 26 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 May 2016 - 26 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 May 2016 - 26 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Apr 2016 - 26 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Apr 2016 - 26 Jun 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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, WAI TSUN BRIAN
:
Chinese Name of Relevant Individual
盧瑋浚
:
HKMA Registration Number
AH1396
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
10 Mar 2026
No
MANAGER SALES CONDUCT AND QUALITY
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
10 Mar 2026
No
MANAGER SALES CONDUCT AND QUALITY
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1396
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 10 Mar 2026
No
AH1396
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 10 Mar 2026
No
AH1396
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 May 2021 - 01 Feb 2024
No
AH1396
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
05 May 2021 - 01 Feb 2024
No
AH1396
CITIBANK, N.A.
Type 1: dealing in securities
05 May 2021 - 01 Feb 2024
No
AH1396
CITIBANK, N.A.
Type 4: advising on securities
05 May 2021 - 01 Feb 2024
No
AH1396
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
18 May 2017 - 31 Mar 2021
No
AH1396
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
18 May 2017 - 31 Mar 2021
No
AH1396
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
05 May 2016 - 26 Jun 2016
No
AH1396
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
05 May 2016 - 26 Jun 2016
No
AH1396
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
03 May 2016 - 26 Jun 2016
No
AH1396
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
03 May 2016 - 26 Jun 2016
No
AH1396
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
28 Apr 2016 - 26 Jun 2016
No
AH1396
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
28 Apr 2016 - 26 Jun 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.