Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, YIN
Chinese Name of Relevant Individual
李垠
HKMA Registration Number
AG5170
Other HKMA Registration Number(s)
AE0179
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
Since 16 Apr 2026
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
Since 16 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 May 2019 - 10 Jan 2026
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 May 2019 - 10 Jan 2026
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jan 2018 - 21 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jan 2018 - 21 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Oct 2014 - 02 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Aug 2008 - 14 Jul 2014
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
LI, YIN
:
Chinese Name of Relevant Individual
李垠
:
HKMA Registration Number
AG5170
:
Other HKMA Registration Number(s)
AE0179
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AE0179
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
Since 16 Apr 2026
No
AE0179
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
Since 16 Apr 2026
No
AE0179
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
22 May 2019 - 10 Jan 2026
Yes
AE0179
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
22 May 2019 - 10 Jan 2026
Yes
AE0179
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
06 Jan 2018 - 21 May 2019
No
AE0179
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
06 Jan 2018 - 21 May 2019
No
AG5170
SOCIETE GENERALE
Type 1: dealing in securities
18 Oct 2014 - 02 Aug 2017
No
AE0179
BNP PARIBAS
Type 1: dealing in securities
13 Aug 2008 - 14 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.