Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, LOK YAN
Chinese Name of Relevant Individual
王樂欣
HKMA Registration Number
AI4213
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
17 Jan 2023
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
17 Jan 2023
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
First date of engagement
17 Jan 2023
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HANG SENG BANK, LIMITED
SFC CE number
AAH297
Business Address
HANG SENG BANK BLDG., 83 DES VOEUX 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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 17 Jan 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
Since 17 Jan 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
Since 17 Jan 2023
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 Nov 2021 - 22 Dec 2022
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 Nov 2021 - 22 Dec 2022
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 Nov 2021 - 22 Dec 2022
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 Nov 2021 - 22 Dec 2022
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
07 Apr 2020 - 31 Aug 2021
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
07 Apr 2020 - 31 Aug 2021
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
07 Apr 2020 - 31 Aug 2021
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
WONG, LOK YAN
:
Chinese Name of Relevant Individual
王樂欣
:
HKMA Registration Number
AI4213
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HANG SENG BANK, LIMITED
Type 1: dealing in securities
17 Jan 2023
No
PRIVATE BANKING
HANG SENG BANK, LIMITED
Type 4: advising on securities
17 Jan 2023
No
PRIVATE BANKING
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
17 Jan 2023
No
PRIVATE BANKING
Name of Registered Institution
SFC CE number
Business Address
HANG SENG BANK, LIMITED
AAH297
HANG SENG BANK BLDG., 83 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI4213
HANG SENG BANK, LIMITED
Type 1: dealing in securities
Since 17 Jan 2023
No
AI4213
HANG SENG BANK, LIMITED
Type 4: advising on securities
Since 17 Jan 2023
No
AI4213
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
Since 17 Jan 2023
No
AI4213
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Nov 2021 - 22 Dec 2022
No
AI4213
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Nov 2021 - 22 Dec 2022
No
AI4213
CITIBANK, N.A.
Type 1: dealing in securities
05 Nov 2021 - 22 Dec 2022
No
AI4213
CITIBANK, N.A.
Type 4: advising on securities
05 Nov 2021 - 22 Dec 2022
No
AI4213
HANG SENG BANK, LIMITED
Type 1: dealing in securities
07 Apr 2020 - 31 Aug 2021
No
AI4213
HANG SENG BANK, LIMITED
Type 4: advising on securities
07 Apr 2020 - 31 Aug 2021
No
AI4213
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
07 Apr 2020 - 31 Aug 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.