Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAI, HOI KI
Chinese Name of Relevant Individual
黎凱琪
HKMA Registration Number
AF6500
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
11 May 2017
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT SERVICES
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
11 May 2017
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT SERVICES
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
First date of engagement
11 May 2017
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT SERVICES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HANG SENG BANK, LIMITED
SFC CE number
AAH297
Business Address
HANG SENG BANK BLDG., 83 DES VOEUX ROAD CENTRAL, HONG KONG.
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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 11 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
Since 11 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Oct 2015 - 05 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Oct 2015 - 05 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jan 2015 - 07 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jan 2015 - 07 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2014 - 29 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jul 2014 - 29 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jan 2013 - 09 Jun 2014
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
11 Jul 2012 - 23 Oct 2012
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
11 Jul 2012 - 23 Oct 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
LAI, HOI KI
:
Chinese Name of Relevant Individual
黎凱琪
:
HKMA Registration Number
AF6500
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HANG SENG BANK, LIMITED
Type 1: dealing in securities
11 May 2017
No
INVESTMENT SERVICES
HANG SENG BANK, LIMITED
Type 4: advising on securities
11 May 2017
No
INVESTMENT SERVICES
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
11 May 2017
No
INVESTMENT SERVICES
Name of Registered Institution
SFC CE number
Business Address
HANG SENG BANK, LIMITED
AAH297
HANG SENG BANK BLDG., 83 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6500
HANG SENG BANK, LIMITED
Type 1: dealing in securities
Since 11 May 2017
No
AF6500
HANG SENG BANK, LIMITED
Type 4: advising on securities
Since 11 May 2017
No
AF6500
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
Since 11 May 2017
No
AF6500
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 Oct 2015 - 05 Mar 2017
No
AF6500
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
06 Oct 2015 - 05 Mar 2017
No
AF6500
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
10 Jan 2015 - 07 Jun 2015
No
AF6500
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
10 Jan 2015 - 07 Jun 2015
No
AF6500
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2014 - 29 Aug 2014
No
AF6500
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2014 - 29 Aug 2014
No
AF6500
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
19 Jan 2013 - 09 Jun 2014
No
AF6500
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
11 Jul 2012 - 23 Oct 2012
No
AF6500
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
11 Jul 2012 - 23 Oct 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.