Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, MING YU
Chinese Name of Relevant Individual
廖銘裕
HKMA Registration Number
AC8151
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
08 Jan 2014
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, BRANCHES
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
12 Jun 2018
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, BRANCHES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
SFC CE number
AAF138
Business Address
61-65, DES VOEUX ROAD 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 CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 12 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 08 Jan 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jul 2011 - 30 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jul 2011 - 30 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Sep 2008 - 04 Jun 2011
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
18 Jun 2008 - 24 Aug 2008
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
18 Jun 2008 - 24 Aug 2008
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
18 Jun 2008 - 24 Aug 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIC KA WAH BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jan 2006 - 21 Apr 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
LIU, MING YU
:
Chinese Name of Relevant Individual
廖銘裕
:
HKMA Registration Number
AC8151
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
08 Jan 2014
No
SALES, BRANCHES
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
12 Jun 2018
No
SALES, BRANCHES
Name of Registered Institution
SFC CE number
Business Address
CHINA CITIC BANK INTERNATIONAL LIMITED
AAF138
61-65, DES VOEUX ROAD CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC8151
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
Since 12 Jun 2018
No
AC8151
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 08 Jan 2014
No
AC8151
DAH SING BANK, LIMITED
Type 1: dealing in securities
20 Jul 2011 - 30 Nov 2013
No
AC8151
DAH SING BANK, LIMITED
Type 4: advising on securities
20 Jul 2011 - 30 Nov 2013
No
AC8151
CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
04 Sep 2008 - 04 Jun 2011
No
AC8151
HANG SENG BANK, LIMITED
Type 1: dealing in securities
18 Jun 2008 - 24 Aug 2008
No
AC8151
HANG SENG BANK, LIMITED
Type 4: advising on securities
18 Jun 2008 - 24 Aug 2008
No
AC8151
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
18 Jun 2008 - 24 Aug 2008
No
AC8151
CITIC KA WAH BANK LIMITED
Type 1: dealing in securities
12 Jan 2006 - 21 Apr 2008
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.