Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, KA HO
Chinese Name of Relevant Individual
李家豪
HKMA Registration Number
AH2692
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
CTBC BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Feb 2020 - 27 Mar 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
27 Feb 2020 - 27 Mar 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Dec 2018 - 19 Jul 2019
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
10 Dec 2018 - 19 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Feb 2018 - 20 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
12 Feb 2018 - 20 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
12 Feb 2018 - 20 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2016 - 03 Feb 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Sep 2016 - 03 Feb 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, KA HO
:
Chinese Name of Relevant Individual
李家豪
:
HKMA Registration Number
AH2692
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH2692
CTBC BANK CO., LTD.
Type 1: dealing in securities
27 Feb 2020 - 27 Mar 2022
No
AH2692
CTBC BANK CO., LTD.
Type 4: advising on securities
27 Feb 2020 - 27 Mar 2022
No
AH2692
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
10 Dec 2018 - 19 Jul 2019
No
AH2692
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
10 Dec 2018 - 19 Jul 2019
No
AH2692
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
12 Feb 2018 - 20 Nov 2018
No
AH2692
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
12 Feb 2018 - 20 Nov 2018
No
AH2692
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
12 Feb 2018 - 20 Nov 2018
No
AH2692
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Sep 2016 - 03 Feb 2018
No
AH2692
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Sep 2016 - 03 Feb 2018
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.