Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ZHAO, XIA
Chinese Name of Relevant Individual
趙霞
HKMA Registration Number
AC6964
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
21 May 2016
Is an Executive Officer? (Yes / No)
Yes
Capacity
DEPUTY GENERAL MANAGER, DEPUTY HEAD OF TREASURY DIVISION
Remarks
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
21 May 2016
Is an Executive Officer? (Yes / No)
Yes
Capacity
DEPUTY GENERAL MANAGER, DEPUTY HEAD OF TREASURY DIVISION
Remarks
Registered Institution
CHINA CONSTRUCTION BANK CORPORATION
Regulated Activity
Type 1: dealing in securities
First date of engagement
02 Nov 2020
Is an Executive Officer? (Yes / No)
Yes
Capacity
DEPUTY GENERAL MANAGER, DEPUTY HEAD OF TREASURY DIVISION
Remarks
Registered Institution
CHINA CONSTRUCTION BANK CORPORATION
Regulated Activity
Type 4: advising on securities
First date of engagement
02 Nov 2020
Is an Executive Officer? (Yes / No)
Yes
Capacity
DEPUTY GENERAL MANAGER, DEPUTY HEAD OF TREASURY DIVISION
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
SFC CE number
AAC155
Business Address
28/F, CCB TOWER, NO. 3 CONNAUGHT ROAD CENTRAL, CENTRAL, HONG KONG.
Name of Registered Institution
CHINA CONSTRUCTION BANK CORPORATION
SFC CE number
ALG498
Business Address
28/F, CCB TOWER, NO. 3 CONNAUGHT ROAD CENTRAL, CENTRAL, 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
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 02 Nov 2020
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 02 Nov 2020
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 02 Nov 2020
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
Since 02 Nov 2020
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 May 2016 - 01 Nov 2020
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
21 May 2016 - 01 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Sep 2005 - 05 Feb 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
21 Sep 2005 - 05 Feb 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Sep 2005 - 05 Feb 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Sep 2005 - 05 Feb 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
ZHAO, XIA
:
Chinese Name of Relevant Individual
趙霞
:
HKMA Registration Number
AC6964
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
21 May 2016
Yes
DEPUTY GENERAL MANAGER, DEPUTY HEAD OF TREASURY DIVISION
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
21 May 2016
Yes
DEPUTY GENERAL MANAGER, DEPUTY HEAD OF TREASURY DIVISION
CHINA CONSTRUCTION BANK CORPORATION
Type 1: dealing in securities
02 Nov 2020
Yes
DEPUTY GENERAL MANAGER, DEPUTY HEAD OF TREASURY DIVISION
CHINA CONSTRUCTION BANK CORPORATION
Type 4: advising on securities
02 Nov 2020
Yes
DEPUTY GENERAL MANAGER, DEPUTY HEAD OF TREASURY DIVISION
Name of Registered Institution
SFC CE number
Business Address
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
AAC155
28/F, CCB TOWER, NO. 3 CONNAUGHT ROAD CENTRAL, CENTRAL, HONG KONG.
CHINA CONSTRUCTION BANK CORPORATION
ALG498
28/F, CCB TOWER, NO. 3 CONNAUGHT ROAD CENTRAL, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6964
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
Since 02 Nov 2020
Yes
AC6964
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
Since 02 Nov 2020
Yes
AC6964
CHINA CONSTRUCTION BANK CORPORATION
Type 1: dealing in securities
Since 02 Nov 2020
Yes
AC6964
CHINA CONSTRUCTION BANK CORPORATION
Type 4: advising on securities
Since 02 Nov 2020
Yes
AC6964
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
21 May 2016 - 01 Nov 2020
No
AC6964
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
21 May 2016 - 01 Nov 2020
No
AC6964
CITIBANK, N.A.
Type 1: dealing in securities
21 Sep 2005 - 05 Feb 2016
No
AC6964
CITIBANK, N.A.
Type 4: advising on securities
21 Sep 2005 - 05 Feb 2016
No
AC6964
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
21 Sep 2005 - 05 Feb 2016
No
AC6964
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
21 Sep 2005 - 05 Feb 2016
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.