Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, CHUN YAT
Chinese Name of Relevant Individual
李進壹
HKMA Registration Number
AF2072
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Mar 2022 - 19 Aug 2022
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
18 Mar 2022 - 19 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Sep 2019 - 08 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 Sep 2019 - 08 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Apr 2016 - 30 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
21 Apr 2016 - 30 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jul 2011 - 18 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Jul 2011 - 18 Jan 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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, CHUN YAT
:
Chinese Name of Relevant Individual
李進壹
:
HKMA Registration Number
AF2072
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2072
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
18 Mar 2022 - 19 Aug 2022
No
AF2072
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
18 Mar 2022 - 19 Aug 2022
No
AF2072
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
12 Sep 2019 - 08 Sep 2021
No
AF2072
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
12 Sep 2019 - 08 Sep 2021
No
AF2072
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
21 Apr 2016 - 30 Apr 2019
No
AF2072
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
21 Apr 2016 - 30 Apr 2019
No
AF2072
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Jul 2011 - 18 Jan 2016
No
AF2072
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Jul 2011 - 18 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.