Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHEN, LI CHING
Chinese Name of Relevant Individual
陳琍菁
HKMA Registration Number
AG5141
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
22 Apr 2023
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR RELATIONSHIP MANAGER
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
22 Apr 2023
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 22 Apr 2023
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
Since 22 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Sep 2021 - 16 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
25 Sep 2021 - 16 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jan 2019 - 31 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jan 2019 - 31 Aug 2021
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
15 Oct 2014 - 16 Nov 2018
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
15 Oct 2014 - 16 Nov 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
CHEN, LI CHING
:
Chinese Name of Relevant Individual
陳琍菁
:
HKMA Registration Number
AG5141
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
22 Apr 2023
No
SENIOR RELATIONSHIP MANAGER
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
22 Apr 2023
No
SENIOR RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5141
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 22 Apr 2023
No
AG5141
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 22 Apr 2023
No
AG5141
UBS AG
Type 1: dealing in securities
25 Sep 2021 - 16 Jan 2023
No
AG5141
UBS AG
Type 4: advising on securities
25 Sep 2021 - 16 Jan 2023
No
AG5141
COMMERZBANK AG
Type 1: dealing in securities
10 Jan 2019 - 31 Aug 2021
No
AG5141
COMMERZBANK AG
Type 4: advising on securities
10 Jan 2019 - 31 Aug 2021
No
AG5141
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
15 Oct 2014 - 16 Nov 2018
No
AG5141
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
15 Oct 2014 - 16 Nov 2018
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.