Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, CHI SHING
Chinese Name of Relevant Individual
李志盛
HKMA Registration Number
AG7792
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
26 Oct 2022
Is an Executive Officer? (Yes / No)
No
Capacity
INVEST. PORTFOLIO CONSULTANT
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
26 Oct 2022
Is an Executive Officer? (Yes / No)
No
Capacity
INVEST. PORTFOLIO CONSULTANT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 26 Oct 2022
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
Since 26 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Mar 2022 - 29 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Mar 2022 - 29 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Jul 2018 - 03 Feb 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Feb 2016 - 03 Feb 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2015 - 03 Feb 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
30 Sep 2015 - 11 Sep 2016
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
06 Jun 2015 - 29 Jul 2015
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
06 Jun 2015 - 29 Jul 2015
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, CHI SHING
:
Chinese Name of Relevant Individual
李志盛
:
HKMA Registration Number
AG7792
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
26 Oct 2022
No
INVEST. PORTFOLIO CONSULTANT
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
26 Oct 2022
No
INVEST. PORTFOLIO CONSULTANT
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7792
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 26 Oct 2022
No
AG7792
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 26 Oct 2022
No
AG7792
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Mar 2022 - 29 Sep 2022
No
AG7792
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
22 Mar 2022 - 29 Sep 2022
No
AG7792
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
01 Jul 2018 - 03 Feb 2022
No
AG7792
HANG SENG BANK, LIMITED
Type 4: advising on securities
25 Feb 2016 - 03 Feb 2022
No
AG7792
HANG SENG BANK, LIMITED
Type 1: dealing in securities
30 Sep 2015 - 03 Feb 2022
No
AG7792
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
30 Sep 2015 - 11 Sep 2016
No
AG7792
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
06 Jun 2015 - 29 Jul 2015
No
AG7792
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
06 Jun 2015 - 29 Jul 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.