Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIE KEN JIE, RICKY KET LOEN
Chinese Name of Relevant Individual
李國倫
HKMA Registration Number
AG1567
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
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
19 Dec 2015 - 31 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jul 2014 - 31 Mar 2020
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jul 2014 - 26 Jul 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Nov 2013 - 16 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Nov 2013 - 16 Jul 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
LIE KEN JIE, RICKY KET LOEN
:
Chinese Name of Relevant Individual
李國倫
:
HKMA Registration Number
AG1567
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1567
ROYAL BANK OF CANADA
Type 4: advising on securities
19 Dec 2015 - 31 Mar 2020
No
AG1567
ROYAL BANK OF CANADA
Type 1: dealing in securities
17 Jul 2014 - 31 Mar 2020
Yes
AG1567
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Type 1: dealing in securities
17 Jul 2014 - 26 Jul 2016
Yes
AG1567
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Type 1: dealing in securities
07 Nov 2013 - 16 Jul 2014
No
AG1567
ROYAL BANK OF CANADA
Type 1: dealing in securities
07 Nov 2013 - 16 Jul 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.