Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, XIAOHAN
Chinese Name of Relevant Individual
李晓晗
HKMA Registration Number
AG6548
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jul 2019 - 21 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jul 2019 - 21 Jul 2022
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
23 Nov 2017 - 01 Apr 2019
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
20 Nov 2017 - 01 Apr 2019
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
20 Nov 2017 - 01 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Feb 2015 - 18 Oct 2017
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
16 Feb 2015 - 18 Oct 2017
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
16 Feb 2015 - 18 Oct 2017
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, XIAOHAN
:
Chinese Name of Relevant Individual
李晓晗
:
HKMA Registration Number
AG6548
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6548
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
06 Jul 2019 - 21 Jul 2022
No
AG6548
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
06 Jul 2019 - 21 Jul 2022
No
AG6548
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
23 Nov 2017 - 01 Apr 2019
No
AG6548
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
20 Nov 2017 - 01 Apr 2019
No
AG6548
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
20 Nov 2017 - 01 Apr 2019
No
AG6548
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
16 Feb 2015 - 18 Oct 2017
No
AG6548
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
16 Feb 2015 - 18 Oct 2017
No
AG6548
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
16 Feb 2015 - 18 Oct 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.