Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, KA CHUN
Chinese Name of Relevant Individual
盧家進
HKMA Registration Number
AH1656
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
12 Apr 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PERSONAL BANKING
Remarks
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
12 Apr 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PERSONAL BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
SFC CE number
AAI670
Business Address
33/F, ICBC TOWER, 3 GARDEN 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
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 12 Apr 2024
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
Since 12 Apr 2024
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
05 Jan 2023 - 31 Oct 2023
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
05 Jan 2023 - 31 Oct 2023
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 Jul 2021 - 03 Oct 2022
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 Jul 2021 - 03 Oct 2022
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
14 Apr 2018 - 19 Nov 2018
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
14 Apr 2018 - 19 Nov 2018
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
26 May 2016 - 14 Oct 2017
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
26 May 2016 - 14 Oct 2017
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
LO, KA CHUN
:
Chinese Name of Relevant Individual
盧家進
:
HKMA Registration Number
AH1656
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
12 Apr 2024
No
PERSONAL BANKING
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
12 Apr 2024
No
PERSONAL BANKING
Name of Registered Institution
SFC CE number
Business Address
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
AAI670
33/F, ICBC TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1656
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
Since 12 Apr 2024
No
AH1656
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
Since 12 Apr 2024
No
AH1656
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
05 Jan 2023 - 31 Oct 2023
No
AH1656
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
05 Jan 2023 - 31 Oct 2023
No
AH1656
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Jul 2021 - 03 Oct 2022
No
AH1656
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Jul 2021 - 03 Oct 2022
No
AH1656
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
14 Apr 2018 - 19 Nov 2018
No
AH1656
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
14 Apr 2018 - 19 Nov 2018
No
AH1656
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
26 May 2016 - 14 Oct 2017
No
AH1656
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
26 May 2016 - 14 Oct 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.