Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, LIK HO RICKY
Chinese Name of Relevant Individual
陳歷豪
HKMA Registration Number
AC0769
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
11 Apr 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SALES & TRADING, TREASURY & MARKETS
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
05 Sep 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SALES & TRADING, TREASURY & MARKETS
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 4: advising on securities
Effective Period
Since 05 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Feb 2023 - 13 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Feb 2023 - 13 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Aug 2017 - 27 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Apr 2014 - 27 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Mar 2008 - 25 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Mar 2008 - 25 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Oct 2007 - 11 Dec 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Oct 2007 - 11 Dec 2007
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
20 Jun 2007 - 16 Jul 2007
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
07 Jun 2007 - 16 Jul 2007
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
07 Jun 2007 - 16 Jul 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2004 - 19 Mar 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Oct 2003 - 30 Jun 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
CHAN, LIK HO RICKY
:
Chinese Name of Relevant Individual
陳歷豪
:
HKMA Registration Number
AC0769
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
11 Apr 2024
No
SALES & TRADING, TREASURY & MARKETS
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
05 Sep 2024
No
SALES & TRADING, TREASURY & MARKETS
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)
AC0769
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
Since 05 Sep 2024
No
AC0769
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 11 Apr 2024
No
AC0769
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
11 Feb 2023 - 13 Jun 2023
No
AC0769
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
11 Feb 2023 - 13 Jun 2023
No
AC0769
EFG BANK AG
Type 4: advising on securities
19 Aug 2017 - 27 Apr 2018
No
AC0769
EFG BANK AG
Type 1: dealing in securities
30 Apr 2014 - 27 Apr 2018
No
AC0769
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Mar 2008 - 25 Apr 2014
No
AC0769
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Mar 2008 - 25 Apr 2014
No
AC0769
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
03 Oct 2007 - 11 Dec 2007
No
AC0769
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
03 Oct 2007 - 11 Dec 2007
No
AC0769
HANG SENG BANK, LIMITED
Type 4: advising on securities
20 Jun 2007 - 16 Jul 2007
No
AC0769
HANG SENG BANK, LIMITED
Type 1: dealing in securities
07 Jun 2007 - 16 Jul 2007
No
AC0769
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
07 Jun 2007 - 16 Jul 2007
No
AC0769
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2004 - 19 Mar 2007
No
AC0769
STANDARD CHARTERED BANK
Type 1: dealing in securities
21 Oct 2003 - 30 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.