Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, SUI YUEN
Chinese Name of Relevant Individual
李瑞元
HKMA Registration Number
AC8353
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
17 Sep 2021
Is an Executive Officer? (Yes / No)
No
Capacity
PERSONAL BANKING
Remarks
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
17 Sep 2021
Is an Executive Officer? (Yes / No)
No
Capacity
PERSONAL BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
SFC CE number
AAI250
Business Address
NANYANG COMMERCIAL BANK BUILDING, 151 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
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 17 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 17 Sep 2021
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
09 Feb 2018 - 30 Aug 2021
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
09 Feb 2018 - 30 Aug 2021
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
09 Feb 2018 - 27 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC WING HANG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 May 2016 - 19 Oct 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Feb 2006 - 30 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Feb 2006 - 30 Apr 2016
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
LI, SUI YUEN
:
Chinese Name of Relevant Individual
李瑞元
:
HKMA Registration Number
AC8353
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
17 Sep 2021
No
PERSONAL BANKING
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
17 Sep 2021
No
PERSONAL BANKING
Name of Registered Institution
SFC CE number
Business Address
NANYANG COMMERCIAL BANK, LIMITED
AAI250
NANYANG COMMERCIAL BANK BUILDING, 151 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC8353
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
Since 17 Sep 2021
No
AC8353
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
Since 17 Sep 2021
No
AC8353
HANG SENG BANK, LIMITED
Type 1: dealing in securities
09 Feb 2018 - 30 Aug 2021
No
AC8353
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
09 Feb 2018 - 30 Aug 2021
No
AC8353
HANG SENG BANK, LIMITED
Type 4: advising on securities
09 Feb 2018 - 27 Mar 2018
No
AC8353
OCBC WING HANG BANK LIMITED
Type 1: dealing in securities
24 May 2016 - 19 Oct 2017
No
AC8353
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
03 Feb 2006 - 30 Apr 2016
No
AC8353
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
03 Feb 2006 - 30 Apr 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.