Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAI, KING CHI
Chinese Name of Relevant Individual
黎敬之
HKMA Registration Number
AC9104
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
First date of engagement
25 Sep 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD, INVESTMENT BANKING & CAPITAL MARKETS, ASIA PACIFIC AND CHIEF EXECUTIVE OFFICER, HONG KONG SAR
Remarks
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
25 Sep 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD, INVESTMENT BANKING & CAPITAL MARKETS, ASIA PACIFIC AND CHIEF EXECUTIVE OFFICER, HONG KONG SAR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
SFC CE number
AAK077
Business Address
60/F, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Effective Date
24 Sep 2024
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
2
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Effective Date
24 Sep 2024
Description
For Type 6 regulated activity, the Executive Officer must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission, act together with another adviser (to the client) not subject to a similar condition.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 24 Sep 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 24 Sep 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Sep 2023 - 23 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
25 Sep 2023 - 23 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Apr 2006 - 25 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
19 Apr 2006 - 25 Mar 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
LAI, KING CHI
:
Chinese Name of Relevant Individual
黎敬之
:
HKMA Registration Number
AC9104
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
25 Sep 2023
Yes
HEAD, INVESTMENT BANKING & CAPITAL MARKETS, ASIA PACIFIC AND CHIEF EXECUTIVE OFFICER, HONG KONG SAR
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
25 Sep 2023
Yes
HEAD, INVESTMENT BANKING & CAPITAL MARKETS, ASIA PACIFIC AND CHIEF EXECUTIVE OFFICER, HONG KONG SAR
Name of Registered Institution
SFC CE number
Business Address
DEUTSCHE BANK AKTIENGESELLSCHAFT
AAK077
60/F, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Registered Institution
Effective Date
Description
DEUTSCHE BANK AKTIENGESELLSCHAFT
1
24 Sep 2024
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
DEUTSCHE BANK AKTIENGESELLSCHAFT
2
24 Sep 2024
For Type 6 regulated activity, the Executive Officer must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission, act together with another adviser (to the client) not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9104
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
Since 24 Sep 2024
Yes
AC9104
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
Since 24 Sep 2024
Yes
AC9104
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
25 Sep 2023 - 23 Sep 2024
No
AC9104
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
25 Sep 2023 - 23 Sep 2024
No
AC9104
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
19 Apr 2006 - 25 Mar 2014
No
AC9104
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
19 Apr 2006 - 25 Mar 2014
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.