Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, XI
Chinese Name of Relevant Individual
劉西
HKMA Registration Number
AG0030
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
NATWEST MARKETS PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Feb 2020 - 24 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 4: advising on securities
Effective Period
21 Feb 2020 - 24 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Nov 2016 - 11 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATWEST MARKETS PLC
Regulated Activity
Type 4: advising on securities
Effective Period
16 Nov 2016 - 11 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jun 2013 - 19 Nov 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
LIU, XI
:
Chinese Name of Relevant Individual
劉西
:
HKMA Registration Number
AG0030
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0030
NATWEST MARKETS PLC
Type 1: dealing in securities
21 Feb 2020 - 24 Aug 2021
No
AG0030
NATWEST MARKETS PLC
Type 4: advising on securities
21 Feb 2020 - 24 Aug 2021
No
AG0030
NATWEST MARKETS PLC
Type 1: dealing in securities
16 Nov 2016 - 11 Feb 2020
No
AG0030
NATWEST MARKETS PLC
Type 4: advising on securities
16 Nov 2016 - 11 Feb 2020
No
AG0030
CATHAY UNITED BANK COMPANY, LIMITED
Type 1: dealing in securities
08 Jun 2013 - 19 Nov 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.