Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, LOK YIN
Chinese Name of Relevant Individual
李樂然
HKMA Registration Number
AH0675
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
E.SUN COMMERCIAL BANK, LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
03 Jun 2025
Is an Executive Officer? (Yes / No)
No
Capacity
TRADER - TREASURY DEPARTMENT
Remarks
Registered Institution
E.SUN COMMERCIAL BANK, LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
03 Jun 2025
Is an Executive Officer? (Yes / No)
No
Capacity
TRADER - TREASURY DEPARTMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
E.SUN COMMERCIAL BANK, LTD.
SFC CE number
AHK963
Business Address
SUITES 2701-4, 10-14, 27/F AND 28/F, TOWER 6, THE GATEWAY, 9 CANTON ROAD, TSIMSHATSUI, KOWLOON.
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
E.SUN COMMERCIAL BANK, LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 03 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
E.SUN COMMERCIAL BANK, LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 03 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Aug 2020 - 23 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
05 Aug 2020 - 23 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2017 - 30 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 4: advising on securities
Effective Period
01 Nov 2017 - 30 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Feb 2016 - 22 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Feb 2016 - 22 Sep 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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, LOK YIN
:
Chinese Name of Relevant Individual
李樂然
:
HKMA Registration Number
AH0675
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
E.SUN COMMERCIAL BANK, LTD.
Type 1: dealing in securities
03 Jun 2025
No
TRADER - TREASURY DEPARTMENT
E.SUN COMMERCIAL BANK, LTD.
Type 4: advising on securities
03 Jun 2025
No
TRADER - TREASURY DEPARTMENT
Name of Registered Institution
SFC CE number
Business Address
E.SUN COMMERCIAL BANK, LTD.
AHK963
SUITES 2701-4, 10-14, 27/F AND 28/F, TOWER 6, THE GATEWAY, 9 CANTON ROAD, TSIMSHATSUI, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH0675
E.SUN COMMERCIAL BANK, LTD.
Type 1: dealing in securities
Since 03 Jun 2025
No
AH0675
E.SUN COMMERCIAL BANK, LTD.
Type 4: advising on securities
Since 03 Jun 2025
No
AH0675
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Type 1: dealing in securities
05 Aug 2020 - 23 Jun 2024
No
AH0675
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Type 4: advising on securities
05 Aug 2020 - 23 Jun 2024
No
AH0675
BANK OF MONTREAL
Type 1: dealing in securities
01 Nov 2017 - 30 Jan 2019
No
AH0675
BANK OF MONTREAL
Type 4: advising on securities
01 Nov 2017 - 30 Jan 2019
No
AH0675
WING LUNG BANK LIMITED
Type 1: dealing in securities
18 Feb 2016 - 22 Sep 2017
No
AH0675
WING LUNG BANK LIMITED
Type 4: advising on securities
18 Feb 2016 - 22 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.