Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, CHAO
Chinese Name of Relevant Individual
李超
HKMA Registration Number
AF8444
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
29 Aug 2018
Is an Executive Officer? (Yes / No)
Yes
Capacity
DEPUTY HEAD OF TREASURY & MARKETS GROUP AND HEAD OF GLOBAL MARKETS
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
17 Jun 2019
Is an Executive Officer? (Yes / No)
Yes
Capacity
DEPUTY HEAD OF TREASURY & MARKETS GROUP AND HEAD OF GLOBAL MARKETS
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
29 Dec 2025
Is an Executive Officer? (Yes / No)
Yes
Capacity
DEPUTY HEAD OF TREASURY & MARKETS GROUP AND HEAD OF GLOBAL MARKETS
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
SFC CE number
AAF138
Business Address
61-65, DES VOEUX ROAD CENTRAL, HONG KONG
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Effective Date
29 Dec 2025
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 29 Dec 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 17 Jun 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 17 Jun 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Aug 2018 - 16 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Dec 2012 - 15 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 Dec 2012 - 15 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
17 Dec 2012 - 15 May 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, CHAO
:
Chinese Name of Relevant Individual
李超
:
HKMA Registration Number
AF8444
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
29 Aug 2018
Yes
DEPUTY HEAD OF TREASURY & MARKETS GROUP AND HEAD OF GLOBAL MARKETS
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
17 Jun 2019
Yes
DEPUTY HEAD OF TREASURY & MARKETS GROUP AND HEAD OF GLOBAL MARKETS
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 6: advising on corporate finance
29 Dec 2025
Yes
DEPUTY HEAD OF TREASURY & MARKETS GROUP AND HEAD OF GLOBAL MARKETS
Name of Registered Institution
SFC CE number
Business Address
CHINA CITIC BANK INTERNATIONAL LIMITED
AAF138
61-65, DES VOEUX ROAD CENTRAL, HONG KONG
Registered Institution
Effective Date
Description
CHINA CITIC BANK INTERNATIONAL LIMITED
1
29 Dec 2025
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8444
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 6: advising on corporate finance
Since 29 Dec 2025
Yes
AF8444
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 17 Jun 2019
Yes
AF8444
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
Since 17 Jun 2019
Yes
AF8444
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
29 Aug 2018 - 16 Jun 2019
No
AF8444
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Dec 2012 - 15 May 2018
No
AF8444
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
17 Dec 2012 - 15 May 2018
No
AF8444
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
17 Dec 2012 - 15 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.