Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HO, LIK KONG
Chinese Name of Relevant Individual
何歷剛
HKMA Registration Number
AG3343
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
31 Aug 2022
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS SUPPORT
Remarks
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
31 Aug 2022
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS SUPPORT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
SFC CE number
AAJ281
Business Address
SHANGHAI COMMERCIAL BANK TOWER, 12 QUEEN'S ROAD CENTRAL, 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
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 31 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 31 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jul 2021 - 28 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Jul 2021 - 28 Apr 2022
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
14 Feb 2019 - 06 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Feb 2019 - 06 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 May 2018 - 18 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
24 May 2018 - 18 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
24 May 2018 - 18 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jan 2017 - 05 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jan 2017 - 05 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 May 2014 - 04 Jan 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
10 May 2014 - 04 Jan 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
HO, LIK KONG
:
Chinese Name of Relevant Individual
何歷剛
:
HKMA Registration Number
AG3343
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
31 Aug 2022
No
BUSINESS SUPPORT
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
31 Aug 2022
No
BUSINESS SUPPORT
Name of Registered Institution
SFC CE number
Business Address
SHANGHAI COMMERCIAL BANK LIMITED
AAJ281
SHANGHAI COMMERCIAL BANK TOWER, 12 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3343
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
Since 31 Aug 2022
No
AG3343
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
Since 31 Aug 2022
No
AG3343
DAH SING BANK, LIMITED
Type 1: dealing in securities
16 Jul 2021 - 28 Apr 2022
No
AG3343
DAH SING BANK, LIMITED
Type 4: advising on securities
16 Jul 2021 - 28 Apr 2022
No
AG3343
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
14 Feb 2019 - 06 Jun 2021
No
AG3343
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
14 Feb 2019 - 06 Jun 2021
No
AG3343
HANG SENG BANK, LIMITED
Type 1: dealing in securities
24 May 2018 - 18 Jan 2019
No
AG3343
HANG SENG BANK, LIMITED
Type 4: advising on securities
24 May 2018 - 18 Jan 2019
No
AG3343
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
24 May 2018 - 18 Jan 2019
No
AG3343
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
14 Jan 2017 - 05 Apr 2018
No
AG3343
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
14 Jan 2017 - 05 Apr 2018
No
AG3343
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
10 May 2014 - 04 Jan 2017
No
AG3343
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
10 May 2014 - 04 Jan 2017
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.