Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, LOK MAN
Chinese Name of Relevant Individual
李洛雯
HKMA Registration Number
AC5544
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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jan 2010 - 18 May 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Aug 2009 - 02 Dec 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Aug 2009 - 02 Dec 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jul 2009 - 30 Jul 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jul 2009 - 30 Jul 2009
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 2008 - 08 Jun 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AMERICAN EXPRESS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Nov 2007 - 12 Oct 2008
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
11 Oct 2006 - 05 Oct 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
11 Oct 2006 - 05 Oct 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Aug 2006 - 28 Sep 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
10 Aug 2006 - 28 Sep 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Apr 2006 - 15 May 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Apr 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jul 2005 - 31 Mar 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jul 2005 - 31 Mar 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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, LOK MAN
:
Chinese Name of Relevant Individual
李洛雯
:
HKMA Registration Number
AC5544
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5544
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Jan 2010 - 18 May 2010
No
AC5544
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Aug 2009 - 02 Dec 2009
No
AC5544
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
22 Aug 2009 - 02 Dec 2009
No
AC5544
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
09 Jul 2009 - 30 Jul 2009
No
AC5544
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
09 Jul 2009 - 30 Jul 2009
No
AC5544
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2008 - 08 Jun 2009
No
AC5544
AMERICAN EXPRESS BANK LIMITED
Type 1: dealing in securities
09 Nov 2007 - 12 Oct 2008
No
AC5544
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
11 Oct 2006 - 05 Oct 2007
No
AC5544
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
11 Oct 2006 - 05 Oct 2007
No
AC5544
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
10 Aug 2006 - 28 Sep 2006
No
AC5544
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
10 Aug 2006 - 28 Sep 2006
No
AC5544
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
13 Apr 2006 - 15 May 2006
No
AC5544
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
10 Apr 2006
No
AC5544
BANK OF AMERICA (ASIA) LIMITED
Type 1: dealing in securities
14 Jul 2005 - 31 Mar 2006
No
AC5544
BANK OF AMERICA (ASIA) LIMITED
Type 4: advising on securities
14 Jul 2005 - 31 Mar 2006
No
AC5544
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
04 May 2005 - 16 Jun 2005
No
AC5544
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
04 May 2005 - 16 Jun 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.