Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HE, LI
Chinese Name of Relevant Individual
何犁
HKMA Registration Number
AG7308
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
First date of engagement
02 Jan 2025
Is an Executive Officer? (Yes / No)
No
Capacity
BANKING
Remarks
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
02 Jan 2025
Is an Executive Officer? (Yes / No)
No
Capacity
BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BARCLAYS BANK PLC
SFC CE number
AAJ160
Business Address
41/F, CHEUNG KONG CENTER, 2 QUEEN'S 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
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 02 Jan 2025
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
Since 02 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Apr 2015 - 03 Oct 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
18 Apr 2015 - 03 Oct 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
18 Apr 2015 - 03 Oct 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
HE, LI
:
Chinese Name of Relevant Individual
何犁
:
HKMA Registration Number
AG7308
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BARCLAYS BANK PLC
Type 1: dealing in securities
02 Jan 2025
No
BANKING
BARCLAYS BANK PLC
Type 6: advising on corporate finance
02 Jan 2025
No
BANKING
Name of Registered Institution
SFC CE number
Business Address
BARCLAYS BANK PLC
AAJ160
41/F, CHEUNG KONG CENTER, 2 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7308
BARCLAYS BANK PLC
Type 1: dealing in securities
Since 02 Jan 2025
No
AG7308
BARCLAYS BANK PLC
Type 6: advising on corporate finance
Since 02 Jan 2025
No
AG7308
UBS AG
Type 1: dealing in securities
18 Apr 2015 - 03 Oct 2017
No
AG7308
UBS AG
Type 4: advising on securities
18 Apr 2015 - 03 Oct 2017
No
AG7308
UBS AG
Type 6: advising on corporate finance
18 Apr 2015 - 03 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.