Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LU, TING
Chinese Name of Relevant Individual
盧挺
HKMA Registration Number
AH9244
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
27 Oct 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT & PORTFOLIO COUNSELLING SPECIALIST
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
27 Oct 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT & PORTFOLIO COUNSELLING SPECIALIST
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 27 Oct 2025
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 27 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Mar 2023 - 08 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
20 Mar 2023 - 08 Apr 2025
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 Sep 2018 - 10 Mar 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
05 Sep 2018 - 10 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Sep 2018 - 10 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Sep 2018 - 10 Mar 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
LU, TING
:
Chinese Name of Relevant Individual
盧挺
:
HKMA Registration Number
AH9244
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
27 Oct 2025
No
INVESTMENT & PORTFOLIO COUNSELLING SPECIALIST
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
27 Oct 2025
No
INVESTMENT & PORTFOLIO COUNSELLING SPECIALIST
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)
AH9244
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 27 Oct 2025
No
AH9244
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 27 Oct 2025
No
AH9244
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
20 Mar 2023 - 08 Apr 2025
No
AH9244
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
20 Mar 2023 - 08 Apr 2025
No
AH9244
CITIBANK, N.A.
Type 1: dealing in securities
05 Sep 2018 - 10 Mar 2021
No
AH9244
CITIBANK, N.A.
Type 4: advising on securities
05 Sep 2018 - 10 Mar 2021
No
AH9244
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
05 Sep 2018 - 10 Mar 2021
No
AH9244
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
05 Sep 2018 - 10 Mar 2021
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.