Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, CHAO MING
Chinese Name of Relevant Individual
劉昭明
HKMA Registration Number
AF4657
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
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2013 - 30 Dec 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
17 May 2013 - 30 Dec 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2013 - 30 Dec 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 May 2013 - 30 Dec 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Jan 2012 - 06 Jun 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
30 Jan 2012 - 06 Jun 2012
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
LIU, CHAO MING
:
Chinese Name of Relevant Individual
劉昭明
:
HKMA Registration Number
AF4657
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4657
CITIBANK, N.A.
Type 1: dealing in securities
17 May 2013 - 30 Dec 2013
No
AF4657
CITIBANK, N.A.
Type 4: advising on securities
17 May 2013 - 30 Dec 2013
No
AF4657
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
17 May 2013 - 30 Dec 2013
No
AF4657
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
17 May 2013 - 30 Dec 2013
No
AF4657
BANK MORGAN STANLEY AG
Type 1: dealing in securities
30 Jan 2012 - 06 Jun 2012
No
AF4657
BANK MORGAN STANLEY AG
Type 2: dealing in futures contracts
30 Jan 2012 - 06 Jun 2012
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.