Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, SIU LI
Chinese Name of Relevant Individual
黃小莉
HKMA Registration Number
AC0322
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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Feb 2007 - 17 Dec 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Feb 2007 - 17 Dec 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Oct 2004 - 30 Apr 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Oct 2004 - 30 Apr 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
05 Oct 2004 - 21 Mar 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIC KA WAH BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jun 2004 - 31 Aug 2004
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
25 Jul 2003 - 15 Jun 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, SIU LI
:
Chinese Name of Relevant Individual
黃小莉
:
HKMA Registration Number
AC0322
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0322
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
03 Feb 2007 - 17 Dec 2008
No
AC0322
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
03 Feb 2007 - 17 Dec 2008
No
AC0322
DAH SING BANK, LIMITED
Type 1: dealing in securities
05 Oct 2004 - 30 Apr 2006
No
AC0322
DAH SING BANK, LIMITED
Type 4: advising on securities
05 Oct 2004 - 30 Apr 2006
No
AC0322
DAH SING BANK, LIMITED
Type 7: providing automated trading services
05 Oct 2004 - 21 Mar 2005
No
AC0322
CITIC KA WAH BANK LIMITED
Type 1: dealing in securities
15 Jun 2004 - 31 Aug 2004
No
AC0322
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
25 Jul 2003 - 15 Jun 2004
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.