Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SAMSON LI, CATHERINE YUHONG
Chinese Name of Relevant Individual
李玉宏
HKMA Registration Number
AF8742
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
First date of engagement
08 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
First date of engagement
08 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
SFC CE number
AGM683
Business Address
SUITE 2918, 29/F, TWO PACIFIC PLACE, 88 QUEENSWAY, 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
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 08 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
Since 08 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jan 2013 - 28 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
19 Jan 2013 - 28 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jan 2013 - 28 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
19 Jan 2013 - 28 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Apr 2013 - 09 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
29 Apr 2013 - 09 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
29 Apr 2013 - 09 May 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
SAMSON LI, CATHERINE YUHONG
:
Chinese Name of Relevant Individual
李玉宏
:
HKMA Registration Number
AF8742
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
08 Aug 2024
No
PRODUCT SPECIALIST
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
08 Aug 2024
No
PRODUCT SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
CA INDOSUEZ (SWITZERLAND) SA
AGM683
SUITE 2918, 29/F, TWO PACIFIC PLACE, 88 QUEENSWAY, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8742
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
Since 08 Aug 2024
No
AF8742
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
Since 08 Aug 2024
No
AF8742
CITIBANK, N.A.
Type 1: dealing in securities
19 Jan 2013 - 28 Mar 2024
No
AF8742
CITIBANK, N.A.
Type 4: advising on securities
19 Jan 2013 - 28 Mar 2024
No
AF8742
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
19 Jan 2013 - 28 Mar 2024
No
AF8742
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
19 Jan 2013 - 28 Mar 2024
No
AF8742
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
29 Apr 2013 - 09 May 2013
No
AF8742
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
29 Apr 2013 - 09 May 2013
No
AF8742
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
29 Apr 2013 - 09 May 2013
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.