Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, CHEN
Chinese Name of Relevant Individual
李晨
HKMA Registration Number
AG7640
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
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jun 2021 - 18 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jun 2021 - 18 Mar 2024
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
23 May 2015 - 16 Feb 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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, CHEN
:
Chinese Name of Relevant Individual
李晨
:
HKMA Registration Number
AG7640
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7640
ROYAL BANK OF CANADA
Type 1: dealing in securities
18 Jun 2021 - 18 Mar 2024
No
AG7640
ROYAL BANK OF CANADA
Type 4: advising on securities
18 Jun 2021 - 18 Mar 2024
No
AG7640
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
23 May 2015 - 16 Feb 2021
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.