Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, NING KEI
Chinese Name of Relevant Individual
李寧基
HKMA Registration Number
AF1766
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
01 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT SPECIALIST
Remarks
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
01 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
FUBON BANK (HONG KONG) LIMITED
SFC CE number
AAA582
Business Address
FUBON BANK BUILDING, 38 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
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 01 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 01 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jan 2022 - 07 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jan 2022 - 07 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jun 2019 - 25 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Jun 2019 - 25 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 Jun 2018 - 09 Jan 2019
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
08 Mar 2016 - 09 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jun 2011 - 11 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
28 Jun 2011 - 11 Jan 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, NING KEI
:
Chinese Name of Relevant Individual
李寧基
:
HKMA Registration Number
AF1766
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Sep 2022
No
WEALTH MANAGEMENT SPECIALIST
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Sep 2022
No
WEALTH MANAGEMENT SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
FUBON BANK (HONG KONG) LIMITED
AAA582
FUBON BANK BUILDING, 38 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1766
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 01 Sep 2022
No
AF1766
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 01 Sep 2022
No
AF1766
CHONG HING BANK LIMITED
Type 1: dealing in securities
11 Jan 2022 - 07 Aug 2022
No
AF1766
CHONG HING BANK LIMITED
Type 4: advising on securities
11 Jan 2022 - 07 Aug 2022
No
AF1766
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
28 Jun 2019 - 25 Aug 2021
No
AF1766
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
28 Jun 2019 - 25 Aug 2021
No
AF1766
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
12 Jun 2018 - 09 Jan 2019
No
AF1766
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
08 Mar 2016 - 09 Jan 2019
No
AF1766
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
28 Jun 2011 - 11 Jan 2016
No
AF1766
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
28 Jun 2011 - 11 Jan 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.