Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, BAOMIN
Chinese Name of Relevant Individual
李敏
HKMA Registration Number
AC9051
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
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Mar 2007 - 31 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
18 Mar 2007 - 31 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Apr 2006 - 01 Mar 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
13 Apr 2006 - 01 Mar 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, BAOMIN
:
Chinese Name of Relevant Individual
李敏
:
HKMA Registration Number
AC9051
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9051
BARCLAYS BANK PLC
Type 1: dealing in securities
18 Mar 2007 - 31 Mar 2010
No
AC9051
BARCLAYS BANK PLC
Type 6: advising on corporate finance
18 Mar 2007 - 31 Mar 2010
No
AC9051
UBS AG
Type 1: dealing in securities
13 Apr 2006 - 01 Mar 2007
No
AC9051
UBS AG
Type 7: providing automated trading services
13 Apr 2006 - 01 Mar 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.