Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, NAN
Chinese Name of Relevant Individual
李南
HKMA Registration Number
AH5940
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
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Mar 2024 - 28 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
08 Mar 2024 - 28 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Oct 2021 - 06 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
22 Oct 2021 - 06 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2017 - 30 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2017 - 30 Jun 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, NAN
:
Chinese Name of Relevant Individual
李南
:
HKMA Registration Number
AH5940
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH5940
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
08 Mar 2024 - 28 Feb 2025
No
AH5940
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
08 Mar 2024 - 28 Feb 2025
No
AH5940
CREDIT SUISSE AG
Type 1: dealing in securities
22 Oct 2021 - 06 Sep 2023
No
AH5940
CREDIT SUISSE AG
Type 4: advising on securities
22 Oct 2021 - 06 Sep 2023
No
AH5940
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
30 Sep 2017 - 30 Jun 2021
No
AH5940
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
30 Sep 2017 - 30 Jun 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.