Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, XI
Chinese Name of Relevant Individual
李溪
HKMA Registration Number
AG9952
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
16 Aug 2019
Is an Executive Officer? (Yes / No)
No
Capacity
TREASURY
Remarks
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
16 Aug 2019
Is an Executive Officer? (Yes / No)
No
Capacity
TREASURY
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
SFC CE number
AAI670
Business Address
33/F, ICBC TOWER, 3 GARDEN 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
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 16 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 16 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Feb 2019 - 14 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
15 Feb 2019 - 14 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Dec 2015 - 29 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Dec 2015 - 29 Sep 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, XI
:
Chinese Name of Relevant Individual
李溪
:
HKMA Registration Number
AG9952
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
16 Aug 2019
No
TREASURY
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
16 Aug 2019
No
TREASURY
Name of Registered Institution
SFC CE number
Business Address
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
AAI670
33/F, ICBC TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9952
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
Since 16 Aug 2019
No
AG9952
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
Since 16 Aug 2019
No
AG9952
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
15 Feb 2019 - 14 Apr 2019
No
AG9952
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
15 Feb 2019 - 14 Apr 2019
No
AG9952
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
03 Dec 2015 - 29 Sep 2017
No
AG9952
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
03 Dec 2015 - 29 Sep 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.