Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, CHUNG YAN
Chinese Name of Relevant Individual
李仲恩
HKMA Registration Number
AG6411
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
04 Aug 2022
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR PRODUCT MANAGER
Remarks
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
04 Aug 2022
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR PRODUCT MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
FUBON BANK (HONG KONG) LIMITED
SFC CE number
AAA582
Business Address
FUBON BANK BUILDING, 38 DES VOEUX ROAD 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
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 04 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 04 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jan 2018 - 26 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jan 2018 - 26 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Nov 2017 - 28 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
08 Nov 2017 - 28 Jan 2018
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
31 Aug 2017 - 26 Sep 2017
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
31 Aug 2017 - 26 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Feb 2015 - 27 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
04 Feb 2015 - 27 Jul 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, CHUNG YAN
:
Chinese Name of Relevant Individual
李仲恩
:
HKMA Registration Number
AG6411
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Aug 2022
No
SENIOR PRODUCT MANAGER
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Aug 2022
No
SENIOR PRODUCT MANAGER
Name of Registered Institution
SFC CE number
Business Address
FUBON BANK (HONG KONG) LIMITED
AAA582
FUBON BANK BUILDING, 38 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6411
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 04 Aug 2022
No
AG6411
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 04 Aug 2022
No
AG6411
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jan 2018 - 26 Jun 2022
No
AG6411
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
22 Jan 2018 - 26 Jun 2022
No
AG6411
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
08 Nov 2017 - 28 Jan 2018
No
AG6411
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
08 Nov 2017 - 28 Jan 2018
No
AG6411
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
31 Aug 2017 - 26 Sep 2017
No
AG6411
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
31 Aug 2017 - 26 Sep 2017
No
AG6411
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
04 Feb 2015 - 27 Jul 2017
No
AG6411
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
04 Feb 2015 - 27 Jul 2017
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.