Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, KA YEN VICTORIA
Chinese Name of Relevant Individual
羅嘉欣
HKMA Registration Number
AH5222
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
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
05 May 2021 - 08 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
05 May 2021 - 08 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jul 2017 - 25 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Jul 2017 - 25 Nov 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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 YEN VICTORIA
:
Chinese Name of Relevant Individual
羅嘉欣
:
HKMA Registration Number
AH5222
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH5222
BNP PARIBAS
Type 1: dealing in securities
05 May 2021 - 08 Aug 2022
No
AH5222
BNP PARIBAS
Type 4: advising on securities
05 May 2021 - 08 Aug 2022
No
AH5222
UBS AG
Type 1: dealing in securities
19 Jul 2017 - 25 Nov 2020
No
AH5222
UBS AG
Type 4: advising on securities
19 Jul 2017 - 25 Nov 2020
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.