Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIE, NA
Chinese Name of Relevant Individual
李娜
HKMA Registration Number
AC6019
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
INTESA SANPAOLO SPA
Regulated Activity
Type 1: dealing in securities
First date of engagement
31 Aug 2016
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF CORPORATE SALES
Remarks
Registered Institution
INTESA SANPAOLO SPA
Regulated Activity
Type 4: advising on securities
First date of engagement
31 Aug 2016
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF CORPORATE SALES
Remarks
Registered Institution
INTESA SANPAOLO SPA
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
31 Aug 2016
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF CORPORATE SALES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
INTESA SANPAOLO SPA
SFC CE number
AFR926
Business Address
UNITS 8102-05 & 8106A, LEVEL 81, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
INTESA SANPAOLO SPA
Effective Date
19 Oct 2023
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
INTESA SANPAOLO SPA
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 19 Oct 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
INTESA SANPAOLO SPA
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 04 Oct 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
INTESA SANPAOLO SPA
Regulated Activity
Type 4: advising on securities
Effective Period
Since 04 Oct 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
INTESA SANPAOLO SPA
Regulated Activity
Type 6: advising on corporate finance
Effective Period
31 Aug 2016 - 18 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INTESA SANPAOLO SPA
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Aug 2016 - 03 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INTESA SANPAOLO SPA
Regulated Activity
Type 4: advising on securities
Effective Period
31 Aug 2016 - 03 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
23 May 2006 - 04 Sep 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
24 Jun 2005 - 10 Apr 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
LIE, NA
:
Chinese Name of Relevant Individual
李娜
:
HKMA Registration Number
AC6019
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
INTESA SANPAOLO SPA
Type 1: dealing in securities
31 Aug 2016
Yes
HEAD OF CORPORATE SALES
INTESA SANPAOLO SPA
Type 4: advising on securities
31 Aug 2016
Yes
HEAD OF CORPORATE SALES
INTESA SANPAOLO SPA
Type 6: advising on corporate finance
31 Aug 2016
Yes
HEAD OF CORPORATE SALES
Name of Registered Institution
SFC CE number
Business Address
INTESA SANPAOLO SPA
AFR926
UNITS 8102-05 & 8106A, LEVEL 81, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Registered Institution
Effective Date
Description
INTESA SANPAOLO SPA
1
19 Oct 2023
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6019
INTESA SANPAOLO SPA
Type 6: advising on corporate finance
Since 19 Oct 2023
Yes
AC6019
INTESA SANPAOLO SPA
Type 1: dealing in securities
Since 04 Oct 2019
Yes
AC6019
INTESA SANPAOLO SPA
Type 4: advising on securities
Since 04 Oct 2019
Yes
AC6019
INTESA SANPAOLO SPA
Type 6: advising on corporate finance
31 Aug 2016 - 18 Oct 2023
No
AC6019
INTESA SANPAOLO SPA
Type 1: dealing in securities
31 Aug 2016 - 03 Oct 2019
No
AC6019
INTESA SANPAOLO SPA
Type 4: advising on securities
31 Aug 2016 - 03 Oct 2019
No
AC6019
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
23 May 2006 - 04 Sep 2012
No
AC6019
ABN AMRO BANK N.V.
Type 1: dealing in securities
24 Jun 2005 - 10 Apr 2006
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.