Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIP, SAU MAN
Chinese Name of Relevant Individual
聶秀紋
HKMA Registration Number
AF7369
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
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Oct 2018 - 31 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 Oct 2018 - 31 Oct 2022
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
09 Jun 2017 - 01 Jan 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
09 Jun 2017 - 01 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Sep 2012 - 03 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Sep 2012 - 03 May 2017
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
LIP, SAU MAN
:
Chinese Name of Relevant Individual
聶秀紋
:
HKMA Registration Number
AF7369
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7369
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
12 Oct 2018 - 31 Oct 2022
No
AF7369
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
12 Oct 2018 - 31 Oct 2022
No
AF7369
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
09 Jun 2017 - 01 Jan 2018
No
AF7369
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
09 Jun 2017 - 01 Jan 2018
No
AF7369
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
18 Sep 2012 - 03 May 2017
No
AF7369
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
18 Sep 2012 - 03 May 2017
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.