Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIM, LI QI
Chinese Name of Relevant Individual
HKMA Registration Number
AG6190
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
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Sep 2025 - 12 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
09 Sep 2025 - 12 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2024 - 07 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2024 - 07 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2024 - 07 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2024 - 07 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Sep 2024 - 09 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Sep 2024 - 09 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Sep 2024 - 09 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
03 Sep 2024 - 09 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Mar 2024 - 05 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Mar 2024 - 05 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Mar 2024 - 05 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
01 Mar 2024 - 05 Mar 2024
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 May 2019 - 10 May 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 19
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
LIM, LI QI
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG6190
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6190
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
09 Sep 2025 - 12 Sep 2025
No
AG6190
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
09 Sep 2025 - 12 Sep 2025
No
AG6190
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
30 Sep 2024 - 07 Oct 2024
No
AG6190
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 4: advising on securities
30 Sep 2024 - 07 Oct 2024
No
AG6190
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
30 Sep 2024 - 07 Oct 2024
No
AG6190
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
30 Sep 2024 - 07 Oct 2024
No
AG6190
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
03 Sep 2024 - 09 Sep 2024
No
AG6190
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 4: advising on securities
03 Sep 2024 - 09 Sep 2024
No
AG6190
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
03 Sep 2024 - 09 Sep 2024
No
AG6190
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
03 Sep 2024 - 09 Sep 2024
No
AG6190
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
01 Mar 2024 - 05 Mar 2024
No
AG6190
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 4: advising on securities
01 Mar 2024 - 05 Mar 2024
No
AG6190
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
01 Mar 2024 - 05 Mar 2024
No
AG6190
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
01 Mar 2024 - 05 Mar 2024
No
AG6190
BNP PARIBAS
Type 1: dealing in securities
08 May 2019 - 10 May 2019
No
AG6190
BNP PARIBAS
Type 1: dealing in securities
15 Mar 2017 - 17 Mar 2017
No
AG6190
BNP PARIBAS
Type 1: dealing in securities
09 Sep 2016 - 13 Sep 2016
No
AG6190
BNP PARIBAS
Type 1: dealing in securities
01 Mar 2016 - 03 Mar 2016
No
AG6190
BNP PARIBAS
Type 1: dealing in securities
20 Jan 2015 - 23 Jan 2015
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.