Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIT, CHING NAM
Chinese Name of Relevant Individual
列正南
HKMA Registration Number
AF6284
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
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Mar 2021 - 02 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Oct 2015 - 01 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Oct 2015 - 01 Jun 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
19 Jun 2012 - 13 Sep 2015
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
19 Jun 2012 - 13 Sep 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
LIT, CHING NAM
:
Chinese Name of Relevant Individual
列正南
:
HKMA Registration Number
AF6284
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6284
BARCLAYS BANK PLC
Type 1: dealing in securities
17 Mar 2021 - 02 Jun 2022
No
AF6284
AGRICULTURAL BANK OF CHINA LIMITED
Type 1: dealing in securities
01 Oct 2015 - 01 Jun 2018
No
AF6284
AGRICULTURAL BANK OF CHINA LIMITED
Type 4: advising on securities
01 Oct 2015 - 01 Jun 2018
No
AF6284
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
19 Jun 2012 - 13 Sep 2015
No
AF6284
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
19 Jun 2012 - 13 Sep 2015
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.