Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, SHING YAN KENELM
Chinese Name of Relevant Individual
李承殷
HKMA Registration Number
AF1946
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
INTESA SANPAOLO SPA
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Dec 2021 - 26 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INTESA SANPAOLO SPA
Regulated Activity
Type 4: advising on securities
Effective Period
02 Dec 2021 - 26 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INTESA SANPAOLO SPA
Regulated Activity
Type 6: advising on corporate finance
Effective Period
02 Dec 2021 - 26 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jul 2017 - 09 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
19 Jul 2017 - 09 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
19 Jul 2017 - 09 May 2018
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
13 Jul 2011 - 16 Jun 2017
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
13 Jul 2011 - 16 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
13 Jul 2011 - 16 Jun 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, SHING YAN KENELM
:
Chinese Name of Relevant Individual
李承殷
:
HKMA Registration Number
AF1946
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1946
INTESA SANPAOLO SPA
Type 1: dealing in securities
02 Dec 2021 - 26 Aug 2022
No
AF1946
INTESA SANPAOLO SPA
Type 4: advising on securities
02 Dec 2021 - 26 Aug 2022
No
AF1946
INTESA SANPAOLO SPA
Type 6: advising on corporate finance
02 Dec 2021 - 26 Aug 2022
No
AF1946
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
19 Jul 2017 - 09 May 2018
No
AF1946
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
19 Jul 2017 - 09 May 2018
No
AF1946
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 6: advising on corporate finance
19 Jul 2017 - 09 May 2018
No
AF1946
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
13 Jul 2011 - 16 Jun 2017
No
AF1946
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
13 Jul 2011 - 16 Jun 2017
No
AF1946
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
13 Jul 2011 - 16 Jun 2017
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.