Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, LOK TIM
Chinese Name of Relevant Individual
李樂添
HKMA Registration Number
AH4008
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
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jun 2021 - 25 Aug 2022
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
22 Jun 2021 - 25 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 May 2021 - 06 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 May 2021 - 06 Jun 2021
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
23 Feb 2017 - 18 Apr 2021
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
23 Feb 2017 - 18 Apr 2021
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, LOK TIM
:
Chinese Name of Relevant Individual
李樂添
:
HKMA Registration Number
AH4008
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH4008
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
22 Jun 2021 - 25 Aug 2022
No
AH4008
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
22 Jun 2021 - 25 Aug 2022
No
AH4008
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
27 May 2021 - 06 Jun 2021
No
AH4008
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
27 May 2021 - 06 Jun 2021
No
AH4008
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
23 Feb 2017 - 18 Apr 2021
No
AH4008
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
23 Feb 2017 - 18 Apr 2021
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.