Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, YAN HUEN
Chinese Name of Relevant Individual
李潤壎
HKMA Registration Number
AC6366
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
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Sep 2018 - 18 Aug 2024
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
13 Sep 2018 - 18 Aug 2024
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
05 Sep 2014 - 20 Aug 2018
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
05 Sep 2014 - 20 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
05 Sep 2014 - 20 Aug 2018
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 Mar 2010 - 15 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
24 Mar 2010 - 15 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 9: asset management
Effective Period
24 Mar 2010 - 15 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
14 Feb 2009 - 31 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jun 2007 - 31 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 9: asset management
Effective Period
18 Jun 2007 - 31 Mar 2010
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
25 Jul 2005 - 15 Jun 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
25 Jul 2005 - 15 Jun 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
25 Jul 2005 - 15 Jun 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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, YAN HUEN
:
Chinese Name of Relevant Individual
李潤壎
:
HKMA Registration Number
AC6366
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6366
EFG BANK AG
Type 1: dealing in securities
13 Sep 2018 - 18 Aug 2024
No
AC6366
EFG BANK AG
Type 4: advising on securities
13 Sep 2018 - 18 Aug 2024
No
AC6366
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Sep 2014 - 20 Aug 2018
No
AC6366
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Sep 2014 - 20 Aug 2018
No
AC6366
DBS BANK (HONG KONG) LIMITED
Type 9: asset management
05 Sep 2014 - 20 Aug 2018
No
AC6366
ABN AMRO BANK N.V.
Type 1: dealing in securities
24 Mar 2010 - 15 Aug 2014
No
AC6366
ABN AMRO BANK N.V.
Type 4: advising on securities
24 Mar 2010 - 15 Aug 2014
No
AC6366
ABN AMRO BANK N.V.
Type 9: asset management
24 Mar 2010 - 15 Aug 2014
No
AC6366
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 4: advising on securities
14 Feb 2009 - 31 Mar 2010
No
AC6366
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
18 Jun 2007 - 31 Mar 2010
No
AC6366
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 9: asset management
18 Jun 2007 - 31 Mar 2010
No
AC6366
HANG SENG BANK, LIMITED
Type 1: dealing in securities
25 Jul 2005 - 15 Jun 2007
No
AC6366
HANG SENG BANK, LIMITED
Type 4: advising on securities
25 Jul 2005 - 15 Jun 2007
No
AC6366
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
25 Jul 2005 - 15 Jun 2007
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.