Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, LIK
Chinese Name of Relevant Individual
黃力
HKMA Registration Number
AA1364
Current Registration
Not Applicable
Business Address
Not Applicable
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
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Feb 2020 - 29 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Feb 2020 - 29 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Oct 2018 - 13 Dec 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
10 Oct 2018 - 13 Dec 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
29 May 2014 - 27 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
29 May 2014 - 27 Jul 2018
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
14 Nov 2013 - 11 May 2014
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
14 Nov 2013 - 11 May 2014
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
14 Nov 2013 - 11 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Dec 2011 - 31 Aug 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
08 Dec 2011 - 31 Aug 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 9: asset management
Effective Period
08 Dec 2011 - 24 Jun 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Mar 2010 - 21 Apr 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
25 Mar 2010 - 21 Apr 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 9: asset management
Effective Period
25 Mar 2010 - 21 Apr 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 25
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, LIK
:
Chinese Name of Relevant Individual
黃力
:
HKMA Registration Number
AA1364
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1364
CREDIT SUISSE AG
Type 1: dealing in securities
19 Feb 2020 - 29 Jul 2022
No
AA1364
CREDIT SUISSE AG
Type 4: advising on securities
19 Feb 2020 - 29 Jul 2022
No
AA1364
BNP PARIBAS
Type 1: dealing in securities
10 Oct 2018 - 13 Dec 2019
No
AA1364
BNP PARIBAS
Type 4: advising on securities
10 Oct 2018 - 13 Dec 2019
No
AA1364
CREDIT SUISSE AG
Type 1: dealing in securities
29 May 2014 - 27 Jul 2018
No
AA1364
CREDIT SUISSE AG
Type 4: advising on securities
29 May 2014 - 27 Jul 2018
No
AA1364
HANG SENG BANK, LIMITED
Type 1: dealing in securities
14 Nov 2013 - 11 May 2014
No
AA1364
HANG SENG BANK, LIMITED
Type 4: advising on securities
14 Nov 2013 - 11 May 2014
No
AA1364
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
14 Nov 2013 - 11 May 2014
No
AA1364
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
08 Dec 2011 - 31 Aug 2012
No
AA1364
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
08 Dec 2011 - 31 Aug 2012
No
AA1364
BANK JULIUS BAER & CO. LTD.
Type 9: asset management
08 Dec 2011 - 24 Jun 2012
No
AA1364
ABN AMRO BANK N.V.
Type 1: dealing in securities
25 Mar 2010 - 21 Apr 2011
No
AA1364
ABN AMRO BANK N.V.
Type 4: advising on securities
25 Mar 2010 - 21 Apr 2011
No
AA1364
ABN AMRO BANK N.V.
Type 9: asset management
25 Mar 2010 - 21 Apr 2011
No
AA1364
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 4: advising on securities
24 Jul 2007 - 31 Mar 2010
No
AA1364
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
23 Apr 2007 - 31 Mar 2010
No
AA1364
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 9: asset management
23 Apr 2007 - 31 Mar 2010
No
AA1364
HANG SENG BANK, LIMITED
Type 1: dealing in securities
26 Jan 2006 - 22 Apr 2007
No
AA1364
HANG SENG BANK, LIMITED
Type 4: advising on securities
26 Jan 2006 - 22 Apr 2007
No
AA1364
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
26 Jan 2006 - 22 Apr 2007
No
AA1364
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 26 Oct 2005
No
AA1364
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 26 Oct 2005
No
AA1364
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 06 Jul 2005
No
AA1364
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 06 Jul 2005
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.