Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, PIK WAH
Chinese Name of Relevant Individual
李碧華
HKMA Registration Number
AC0799
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
05 Aug 2015 - 10 Oct 2016
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
05 Aug 2015 - 10 Oct 2016
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
23 Mar 2011 - 07 Jun 2015
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
23 Mar 2011 - 07 Jun 2015
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
23 Mar 2011 - 07 Jun 2015
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
01 Oct 2008 - 01 Sep 2010
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
01 Oct 2008 - 01 Sep 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2007 - 26 Sep 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Mar 2007 - 22 Apr 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 Mar 2007 - 22 Apr 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 Jul 2004 - 02 Jul 2006
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
07 Jul 2004 - 02 Jul 2006
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 Jul 2004 - 02 Jul 2006
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
02 Dec 2003 - 01 Jul 2004
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
27 Oct 2003 - 01 Jul 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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
LI, PIK WAH
:
Chinese Name of Relevant Individual
李碧華
:
HKMA Registration Number
AC0799
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0799
CREDIT SUISSE AG
Type 1: dealing in securities
05 Aug 2015 - 10 Oct 2016
No
AC0799
CREDIT SUISSE AG
Type 4: advising on securities
05 Aug 2015 - 10 Oct 2016
No
AC0799
HANG SENG BANK, LIMITED
Type 1: dealing in securities
23 Mar 2011 - 07 Jun 2015
No
AC0799
HANG SENG BANK, LIMITED
Type 4: advising on securities
23 Mar 2011 - 07 Jun 2015
No
AC0799
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
23 Mar 2011 - 07 Jun 2015
No
AC0799
CREDIT SUISSE AG
Type 1: dealing in securities
01 Oct 2008 - 01 Sep 2010
No
AC0799
CREDIT SUISSE AG
Type 4: advising on securities
01 Oct 2008 - 01 Sep 2010
No
AC0799
UBS AG
Type 1: dealing in securities
01 May 2007 - 26 Sep 2008
No
AC0799
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Mar 2007 - 22 Apr 2007
No
AC0799
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
17 Mar 2007 - 22 Apr 2007
No
AC0799
HANG SENG BANK, LIMITED
Type 1: dealing in securities
07 Jul 2004 - 02 Jul 2006
No
AC0799
HANG SENG BANK, LIMITED
Type 4: advising on securities
07 Jul 2004 - 02 Jul 2006
No
AC0799
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
07 Jul 2004 - 02 Jul 2006
No
AC0799
HANG SENG BANK, LIMITED
Type 4: advising on securities
02 Dec 2003 - 01 Jul 2004
No
AC0799
HANG SENG BANK, LIMITED
Type 1: dealing in securities
27 Oct 2003 - 01 Jul 2004
No
AC0799
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
27 Oct 2003 - 01 Jul 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.