Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LOK, LIN WAN
Chinese Name of Relevant Individual
駱連運
HKMA Registration Number
AH3749
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
20 Jan 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CONSUMER BANKING
Remarks
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
20 Jan 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CONSUMER BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
SFC CE number
AAC155
Business Address
28/F, CCB TOWER, NO. 3 CONNAUGHT ROAD CENTRAL, 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
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 20 Jan 2024
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
Since 20 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Apr 2021 - 03 Dec 2023
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
13 Apr 2021 - 03 Dec 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
13 Apr 2021 - 30 Jun 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
15 Mar 2019 - 31 Dec 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
15 Mar 2019 - 31 Dec 2019
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
27 Jan 2017 - 08 Oct 2018
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
27 Jan 2017 - 08 Oct 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
LOK, LIN WAN
:
Chinese Name of Relevant Individual
駱連運
:
HKMA Registration Number
AH3749
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
20 Jan 2024
No
CONSUMER BANKING
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
20 Jan 2024
No
CONSUMER BANKING
Name of Registered Institution
SFC CE number
Business Address
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
AAC155
28/F, CCB TOWER, NO. 3 CONNAUGHT ROAD CENTRAL, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3749
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
Since 20 Jan 2024
No
AH3749
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
Since 20 Jan 2024
No
AH3749
HANG SENG BANK, LIMITED
Type 1: dealing in securities
13 Apr 2021 - 03 Dec 2023
No
AH3749
HANG SENG BANK, LIMITED
Type 4: advising on securities
13 Apr 2021 - 03 Dec 2023
No
AH3749
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
13 Apr 2021 - 30 Jun 2022
No
AH3749
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
15 Mar 2019 - 31 Dec 2019
No
AH3749
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
15 Mar 2019 - 31 Dec 2019
No
AH3749
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 Jan 2017 - 08 Oct 2018
No
AH3749
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
27 Jan 2017 - 08 Oct 2018
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.