Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
LO, SAM SHAN
Chinese Name of Relevant Individual

盧山
HKMA Registration Number
AI9503
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
02 Jun 2022
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE, CORPORATE AND INSTITUTIONAL BANKING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
02 Jun 2022
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE, CORPORATE AND INSTITUTIONAL BANKING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
02 Jun 2022
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE, CORPORATE AND INSTITUTIONAL BANKING
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
LO, SAM SHAN
:
Chinese Name of Relevant Individual
盧山
:
HKMA Registration Number
AI9503
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
02 Jun 2022
No
ASSOCIATE, CORPORATE AND INSTITUTIONAL BANKING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
02 Jun 2022
No
ASSOCIATE, CORPORATE AND INSTITUTIONAL BANKING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
02 Jun 2022
No
ASSOCIATE, CORPORATE AND INSTITUTIONAL BANKING