Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LU, ZHUO HUAN
Chinese Name of Relevant Individual
HKMA Registration Number
AI7992
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
26 Feb 2026
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT CONSULTANT
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
26 Feb 2026
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT CONSULTANT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
SFC CE number
AAJ165
Business Address
BANK OF EAST ASIA BUILDING, 10 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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 26 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 26 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jul 2022 - 20 Feb 2024
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
18 Jul 2022 - 20 Feb 2024
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
23 Oct 2021 - 25 May 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
23 Oct 2021 - 25 May 2022
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
22 Oct 2021 - 25 May 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
22 Oct 2021 - 25 May 2022
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, ZHUO HUAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI7992
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
26 Feb 2026
No
INVESTMENT CONSULTANT
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
26 Feb 2026
No
INVESTMENT CONSULTANT
Name of Registered Institution
SFC CE number
Business Address
BANK OF EAST ASIA, LIMITED (THE)
AAJ165
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI7992
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
Since 26 Feb 2026
No
AI7992
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
Since 26 Feb 2026
No
AI7992
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
18 Jul 2022 - 20 Feb 2024
No
AI7992
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
18 Jul 2022 - 20 Feb 2024
No
AI7992
CITIBANK, N.A.
Type 1: dealing in securities
23 Oct 2021 - 25 May 2022
No
AI7992
CITIBANK, N.A.
Type 4: advising on securities
23 Oct 2021 - 25 May 2022
No
AI7992
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Oct 2021 - 25 May 2022
No
AI7992
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
22 Oct 2021 - 25 May 2022
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.