Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, KA MING
Chinese Name of Relevant Individual
黎嘉明
HKMA Registration Number
AC6077
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
23 Jan 2020
Is an Executive Officer? (Yes / No)
No
Capacity
SR SALES MGMT MGR(BUS.BANKING)
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
23 Jan 2020
Is an Executive Officer? (Yes / No)
No
Capacity
SR SALES MGMT MGR(BUS.BANKING)
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 23 Jan 2020
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
Since 23 Jan 2020
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
06 Aug 2009 - 18 Oct 2019
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
06 Aug 2009 - 18 Oct 2019
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
13 Jan 2006 - 26 Apr 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
13 Jan 2006 - 26 Apr 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
13 Jan 2006 - 26 Apr 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
05 Nov 2005 - 08 Jan 2006
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
11 Jul 2005 - 08 Jan 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
11 Jul 2005 - 08 Jan 2006
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
05 Jul 2005
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
05 Jul 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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, KA MING
:
Chinese Name of Relevant Individual
黎嘉明
:
HKMA Registration Number
AC6077
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
23 Jan 2020
No
SR SALES MGMT MGR(BUS.BANKING)
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
23 Jan 2020
No
SR SALES MGMT MGR(BUS.BANKING)
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6077
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 23 Jan 2020
No
AC6077
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 23 Jan 2020
No
AC6077
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
06 Aug 2009 - 18 Oct 2019
No
AC6077
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
06 Aug 2009 - 18 Oct 2019
No
AC6077
HANG SENG BANK, LIMITED
Type 1: dealing in securities
13 Jan 2006 - 26 Apr 2006
No
AC6077
HANG SENG BANK, LIMITED
Type 4: advising on securities
13 Jan 2006 - 26 Apr 2006
No
AC6077
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
13 Jan 2006 - 26 Apr 2006
No
AC6077
HANG SENG BANK, LIMITED
Type 4: advising on securities
05 Nov 2005 - 08 Jan 2006
No
AC6077
HANG SENG BANK, LIMITED
Type 1: dealing in securities
11 Jul 2005 - 08 Jan 2006
No
AC6077
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
11 Jul 2005 - 08 Jan 2006
No
AC6077
HANG SENG BANK, LIMITED
Type 1: dealing in securities
05 Jul 2005
No
AC6077
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
05 Jul 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.