Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, NA
Chinese Name of Relevant Individual
李娜
HKMA Registration Number
AG5568
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
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Feb 2022 - 25 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
07 Feb 2022 - 25 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
07 Feb 2022 - 25 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jul 2020 - 10 Jan 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jul 2020 - 10 Jan 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jul 2020 - 10 Jan 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jul 2020 - 10 Jan 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jan 2019 - 10 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jan 2019 - 10 Sep 2019
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
27 Jul 2017 - 30 Aug 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
27 Jul 2017 - 30 Aug 2018
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
20 Nov 2014 - 09 Dec 2016
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
20 Nov 2014 - 09 Dec 2016
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
LI, NA
:
Chinese Name of Relevant Individual
李娜
:
HKMA Registration Number
AG5568
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5568
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
07 Feb 2022 - 25 Sep 2023
No
AG5568
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
07 Feb 2022 - 25 Sep 2023
No
AG5568
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
07 Feb 2022 - 25 Sep 2023
No
AG5568
CITIBANK, N.A.
Type 1: dealing in securities
14 Jul 2020 - 10 Jan 2022
No
AG5568
CITIBANK, N.A.
Type 4: advising on securities
14 Jul 2020 - 10 Jan 2022
No
AG5568
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
14 Jul 2020 - 10 Jan 2022
No
AG5568
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
14 Jul 2020 - 10 Jan 2022
No
AG5568
BNP PARIBAS
Type 1: dealing in securities
08 Jan 2019 - 10 Sep 2019
No
AG5568
BNP PARIBAS
Type 4: advising on securities
08 Jan 2019 - 10 Sep 2019
No
AG5568
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
27 Jul 2017 - 30 Aug 2018
No
AG5568
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
27 Jul 2017 - 30 Aug 2018
No
AG5568
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Nov 2014 - 09 Dec 2016
No
AG5568
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Nov 2014 - 09 Dec 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.