Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, NING
Chinese Name of Relevant Individual
HKMA Registration Number
AG8971
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
WESTPAC BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jun 2016 - 27 Sep 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
WESTPAC BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jun 2016 - 27 Sep 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
WESTPAC BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Sep 2015 - 07 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WESTPAC BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
15 Sep 2015 - 07 Jun 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, NING
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG8971
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8971
WESTPAC BANKING CORPORATION
Type 1: dealing in securities
08 Jun 2016 - 27 Sep 2018
Yes
AG8971
WESTPAC BANKING CORPORATION
Type 4: advising on securities
08 Jun 2016 - 27 Sep 2018
Yes
AG8971
WESTPAC BANKING CORPORATION
Type 1: dealing in securities
15 Sep 2015 - 07 Jun 2016
No
AG8971
WESTPAC BANKING CORPORATION
Type 4: advising on securities
15 Sep 2015 - 07 Jun 2016
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.