Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, MINGJI
Chinese Name of Relevant Individual
李明姬
HKMA Registration Number
AF9097
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
18 Mar 2025
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
18 Mar 2025
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
18 Mar 2025
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
18 Mar 2025
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
LGT BANK AG
SFC CE number
AWF529
Business Address
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, 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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 18 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
Since 18 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 18 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
Since 18 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
31 May 2024 - 30 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2024 - 30 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Jun 2022 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
02 Jun 2022 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Jan 2018 - 11 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Jan 2018 - 11 May 2021
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
24 Sep 2014 - 28 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
24 Sep 2014 - 28 Jan 2018
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
20 Sep 2013 - 12 Jun 2014
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
20 Sep 2013 - 12 Jun 2014
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
27 Feb 2013 - 26 Aug 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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, MINGJI
:
Chinese Name of Relevant Individual
李明姬
:
HKMA Registration Number
AF9097
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
18 Mar 2025
No
STAFF OF CLIENT ADVISOR
LGT BANK AG
Type 2: dealing in futures contracts
18 Mar 2025
No
STAFF OF CLIENT ADVISOR
LGT BANK AG
Type 4: advising on securities
18 Mar 2025
No
STAFF OF CLIENT ADVISOR
LGT BANK AG
Type 5: advising on futures contracts
18 Mar 2025
No
STAFF OF CLIENT ADVISOR
Name of Registered Institution
SFC CE number
Business Address
LGT BANK AG
AWF529
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9097
LGT BANK AG
Type 1: dealing in securities
Since 18 Mar 2025
No
AF9097
LGT BANK AG
Type 2: dealing in futures contracts
Since 18 Mar 2025
No
AF9097
LGT BANK AG
Type 4: advising on securities
Since 18 Mar 2025
No
AF9097
LGT BANK AG
Type 5: advising on futures contracts
Since 18 Mar 2025
No
AF9097
UBS AG
Type 1: dealing in securities
31 May 2024 - 30 Jul 2024
No
AF9097
UBS AG
Type 4: advising on securities
31 May 2024 - 30 Jul 2024
No
AF9097
CREDIT SUISSE AG
Type 1: dealing in securities
02 Jun 2022 - 31 May 2024
No
AF9097
CREDIT SUISSE AG
Type 4: advising on securities
02 Jun 2022 - 31 May 2024
No
AF9097
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
23 Jan 2018 - 11 May 2021
No
AF9097
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
23 Jan 2018 - 11 May 2021
No
AF9097
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
24 Sep 2014 - 28 Jan 2018
No
AF9097
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
24 Sep 2014 - 28 Jan 2018
No
AF9097
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
20 Sep 2013 - 12 Jun 2014
No
AF9097
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
20 Sep 2013 - 12 Jun 2014
No
AF9097
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
27 Feb 2013 - 26 Aug 2013
No
AF9097
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
27 Feb 2013 - 26 Aug 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.