Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HO, LOK YI
Chinese Name of Relevant Individual
何樂怡
HKMA Registration Number
AI5947
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
20 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, DIRECT BANKING
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
20 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, DIRECT BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
SFC CE number
AAF138
Business Address
61-65, 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
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 20 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 20 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Sep 2022 - 03 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
10 Sep 2022 - 03 Aug 2025
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
23 Jul 2021 - 21 Nov 2021
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
23 Jul 2021 - 21 Nov 2021
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
08 Feb 2021 - 31 May 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
08 Feb 2021 - 31 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
HO, LOK YI
:
Chinese Name of Relevant Individual
何樂怡
:
HKMA Registration Number
AI5947
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
20 Aug 2025
No
SALES, DIRECT BANKING
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
20 Aug 2025
No
SALES, DIRECT BANKING
Name of Registered Institution
SFC CE number
Business Address
CHINA CITIC BANK INTERNATIONAL LIMITED
AAF138
61-65, DES VOEUX ROAD CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI5947
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 20 Aug 2025
No
AI5947
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
Since 20 Aug 2025
No
AI5947
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
10 Sep 2022 - 03 Aug 2025
No
AI5947
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
10 Sep 2022 - 03 Aug 2025
No
AI5947
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Jul 2021 - 21 Nov 2021
No
AI5947
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
23 Jul 2021 - 21 Nov 2021
No
AI5947
HANG SENG BANK, LIMITED
Type 1: dealing in securities
08 Feb 2021 - 31 May 2021
No
AI5947
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
08 Feb 2021 - 31 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.