Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LOK, IDY
Chinese Name of Relevant Individual
駱蔚曈
HKMA Registration Number
AI5530
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
16 Aug 2024
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
16 Aug 2024
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
16 Aug 2024
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 16 Aug 2024
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 16 Aug 2024
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 16 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jan 2024 - 20 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 Jan 2024 - 20 Jul 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
26 Nov 2020 - 15 Oct 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
26 Nov 2020 - 15 Oct 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
26 Nov 2020 - 16 May 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
LOK, IDY
:
Chinese Name of Relevant Individual
駱蔚曈
:
HKMA Registration Number
AI5530
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
16 Aug 2024
No
PRIVATE BANKING
HANG SENG BANK, LIMITED
Type 4: advising on securities
16 Aug 2024
No
PRIVATE BANKING
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
16 Aug 2024
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)
AI5530
HANG SENG BANK, LIMITED
Type 1: dealing in securities
Since 16 Aug 2024
No
AI5530
HANG SENG BANK, LIMITED
Type 4: advising on securities
Since 16 Aug 2024
No
AI5530
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
Since 16 Aug 2024
No
AI5530
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
17 Jan 2024 - 20 Jul 2024
No
AI5530
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
17 Jan 2024 - 20 Jul 2024
No
AI5530
HANG SENG BANK, LIMITED
Type 1: dealing in securities
26 Nov 2020 - 15 Oct 2023
No
AI5530
HANG SENG BANK, LIMITED
Type 4: advising on securities
26 Nov 2020 - 15 Oct 2023
No
AI5530
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
26 Nov 2020 - 16 May 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.