Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SUN, LI
Chinese Name of Relevant Individual
孫麗
HKMA Registration Number
AF1127
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
OVERSEA-CHINESE BANKING CORPORATION LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
10 May 2011 - 13 Sep 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
10 May 2011 - 13 Sep 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LTD.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
09 May 2011 - 13 Sep 2012
Is an Executive Officer? (Yes / No)
Yes
Records: 1-3 of 3
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
SUN, LI
:
Chinese Name of Relevant Individual
孫麗
:
HKMA Registration Number
AF1127
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1127
OVERSEA-CHINESE BANKING CORPORATION LTD.
Type 1: dealing in securities
10 May 2011 - 13 Sep 2012
No
AF1127
OVERSEA-CHINESE BANKING CORPORATION LTD.
Type 4: advising on securities
10 May 2011 - 13 Sep 2012
No
AF1127
OVERSEA-CHINESE BANKING CORPORATION LTD.
Type 6: advising on corporate finance
09 May 2011 - 13 Sep 2012
Yes
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.