Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, LIXIAN
Chinese Name of Relevant Individual
黎立嫻
HKMA Registration Number
AG5311
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
27 Jul 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
VICE PRESIDENT, CAPITAL MARKET DEPARTMENT
Remarks
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
27 Jul 2021
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
INDUSTRIAL BANK CO., LTD.
SFC CE number
ALZ901
Business Address
10-12/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, 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
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 19 Feb 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 27 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jul 2021 - 18 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Oct 2014 - 31 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 4: advising on securities
Effective Period
30 Oct 2014 - 31 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 6: advising on corporate finance
Effective Period
30 Oct 2014 - 31 Oct 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, LIXIAN
:
Chinese Name of Relevant Individual
黎立嫻
:
HKMA Registration Number
AG5311
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
INDUSTRIAL BANK CO., LTD.
Type 1: dealing in securities
27 Jul 2021
Yes
VICE PRESIDENT, CAPITAL MARKET DEPARTMENT
INDUSTRIAL BANK CO., LTD.
Type 4: advising on securities
27 Jul 2021
No
SENIOR RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
INDUSTRIAL BANK CO., LTD.
ALZ901
10-12/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5311
INDUSTRIAL BANK CO., LTD.
Type 1: dealing in securities
Since 19 Feb 2025
Yes
AG5311
INDUSTRIAL BANK CO., LTD.
Type 4: advising on securities
Since 27 Jul 2021
No
AG5311
INDUSTRIAL BANK CO., LTD.
Type 1: dealing in securities
27 Jul 2021 - 18 Feb 2025
No
AG5311
SOCIETE GENERALE
Type 1: dealing in securities
30 Oct 2014 - 31 Oct 2016
No
AG5311
SOCIETE GENERALE
Type 4: advising on securities
30 Oct 2014 - 31 Oct 2016
No
AG5311
SOCIETE GENERALE
Type 6: advising on corporate finance
30 Oct 2014 - 31 Oct 2016
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.