Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, CHEN
Chinese Name of Relevant Individual
李琛
HKMA Registration Number
AF6894
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
28 Aug 2017 - 19 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ICBC STANDARD BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Sep 2015 - 03 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ICBC STANDARD BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
08 Sep 2015 - 03 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANCO SANTANDER, S.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Nov 2013 - 13 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANCO SANTANDER, S.A.
Regulated Activity
Type 4: advising on securities
Effective Period
05 Nov 2013 - 13 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Aug 2012 - 12 Dec 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
LI, CHEN
:
Chinese Name of Relevant Individual
李琛
:
HKMA Registration Number
AF6894
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6894
BARCLAYS BANK PLC
Type 1: dealing in securities
28 Aug 2017 - 19 Nov 2019
No
AF6894
ICBC STANDARD BANK PLC
Type 1: dealing in securities
08 Sep 2015 - 03 Jul 2017
No
AF6894
ICBC STANDARD BANK PLC
Type 4: advising on securities
08 Sep 2015 - 03 Jul 2017
No
AF6894
BANCO SANTANDER, S.A.
Type 1: dealing in securities
05 Nov 2013 - 13 Aug 2015
No
AF6894
BANCO SANTANDER, S.A.
Type 4: advising on securities
05 Nov 2013 - 13 Aug 2015
No
AF6894
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Type 1: dealing in securities
15 Aug 2012 - 12 Dec 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.