Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, XIAOCHENG
Chinese Name of Relevant Individual
李晓程
HKMA Registration Number
AG0735
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
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Nov 2014 - 13 Feb 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
25 Nov 2014 - 13 Feb 2017
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
21 Aug 2013 - 18 Nov 2014
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
21 Aug 2013 - 18 Nov 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, XIAOCHENG
:
Chinese Name of Relevant Individual
李晓程
:
HKMA Registration Number
AG0735
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0735
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
25 Nov 2014 - 13 Feb 2017
No
AG0735
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
25 Nov 2014 - 13 Feb 2017
No
AG0735
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
21 Aug 2013 - 18 Nov 2014
No
AG0735
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
21 Aug 2013 - 18 Nov 2014
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.