Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIO, WAI KI
Chinese Name of Relevant Individual
廖慧棋
HKMA Registration Number
AG1440
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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Nov 2019 - 23 Aug 2020
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
28 Nov 2019 - 23 Aug 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Mar 2016 - 30 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Apr 2014 - 09 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Oct 2013 - 03 Mar 2014
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
LIO, WAI KI
:
Chinese Name of Relevant Individual
廖慧棋
:
HKMA Registration Number
AG1440
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1440
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
28 Nov 2019 - 23 Aug 2020
No
AG1440
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
28 Nov 2019 - 23 Aug 2020
No
AG1440
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
02 Mar 2016 - 30 Apr 2017
No
AG1440
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
05 Apr 2014 - 09 Mar 2015
No
AG1440
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
25 Oct 2013 - 03 Mar 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.