Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, NING
Chinese Name of Relevant Individual
劉寧
HKMA Registration Number
AG7204
Other HKMA Registration Number(s)
AG2039
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
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Aug 2021 - 02 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
02 Aug 2021 - 02 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Apr 2015 - 02 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
10 Apr 2015 - 02 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
10 Apr 2015 - 02 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jan 2014 - 07 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jan 2014 - 07 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Jan 2014 - 07 Apr 2015
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
LIU, NING
:
Chinese Name of Relevant Individual
劉寧
:
HKMA Registration Number
AG7204
:
Other HKMA Registration Number(s)
AG2039
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7204
BARCLAYS BANK PLC
Type 1: dealing in securities
02 Aug 2021 - 02 Aug 2024
No
AG7204
BARCLAYS BANK PLC
Type 6: advising on corporate finance
02 Aug 2021 - 02 Aug 2024
No
AG7204
COMMERZBANK AG
Type 1: dealing in securities
10 Apr 2015 - 02 Jul 2015
No
AG7204
COMMERZBANK AG
Type 4: advising on securities
10 Apr 2015 - 02 Jul 2015
No
AG7204
COMMERZBANK AG
Type 6: advising on corporate finance
10 Apr 2015 - 02 Jul 2015
No
AG2039
COMMERZBANK AG
Type 1: dealing in securities
01 Jan 2014 - 07 Apr 2015
No
AG2039
COMMERZBANK AG
Type 4: advising on securities
01 Jan 2014 - 07 Apr 2015
No
AG2039
COMMERZBANK AG
Type 6: advising on corporate finance
01 Jan 2014 - 07 Apr 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.