Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, KIN TING
Chinese Name of Relevant Individual
李健庭
HKMA Registration Number
AF4834
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
22 Jan 2018
Is an Executive Officer? (Yes / No)
Yes
Capacity
GENERAL MANAGER, GLOBAL MARKETS
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
22 Jan 2018
Is an Executive Officer? (Yes / No)
Yes
Capacity
GENERAL MANAGER, GLOBAL MARKETS
Remarks
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
06 Feb 2012
Is an Executive Officer? (Yes / No)
Yes
Capacity
GENERAL MANAGER, GLOBAL MARKETS
Remarks
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Feb 2012
Is an Executive Officer? (Yes / No)
Yes
Capacity
GENERAL MANAGER, GLOBAL MARKETS
Remarks
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
First date of engagement
06 Feb 2012
Is an Executive Officer? (Yes / No)
Yes
Capacity
GENERAL MANAGER, GLOBAL MARKETS
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
SFC CE number
BJN782
Business Address
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
Name of Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
SFC CE number
AAK782
Business Address
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Effective Date
02 May 2018
Description
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 22 Sep 2020
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 22 Sep 2020
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 02 May 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 02 May 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
Effective Period
Since 02 May 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jan 2018 - 21 Sep 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jan 2018 - 21 Sep 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Feb 2012 - 01 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
06 Feb 2012 - 01 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
Effective Period
06 Feb 2012 - 01 May 2018
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, KIN TING
:
Chinese Name of Relevant Individual
李健庭
:
HKMA Registration Number
AF4834
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jan 2018
Yes
GENERAL MANAGER, GLOBAL MARKETS
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
22 Jan 2018
Yes
GENERAL MANAGER, GLOBAL MARKETS
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
06 Feb 2012
Yes
GENERAL MANAGER, GLOBAL MARKETS
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
06 Feb 2012
Yes
GENERAL MANAGER, GLOBAL MARKETS
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
06 Feb 2012
Yes
GENERAL MANAGER, GLOBAL MARKETS
Name of Registered Institution
SFC CE number
Business Address
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
BJN782
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
BANK OF COMMUNICATIONS CO., LTD.
AAK782
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
Registered Institution
Effective Date
Description
BANK OF COMMUNICATIONS CO., LTD.
1
02 May 2018
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4834
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
Since 22 Sep 2020
Yes
AF4834
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
Since 22 Sep 2020
Yes
AF4834
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
Since 02 May 2018
Yes
AF4834
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
Since 02 May 2018
Yes
AF4834
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
Since 02 May 2018
Yes
AF4834
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jan 2018 - 21 Sep 2020
No
AF4834
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
22 Jan 2018 - 21 Sep 2020
No
AF4834
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
06 Feb 2012 - 01 May 2018
No
AF4834
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
06 Feb 2012 - 01 May 2018
No
AF4834
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
06 Feb 2012 - 01 May 2018
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.