Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, SIU MAN
Chinese Name of Relevant Individual
李小敏
HKMA Registration Number
AH9056
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
26 Nov 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE, DIRECT BANKING
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
26 Nov 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE, DIRECT BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
SFC CE number
AAF138
Business Address
61-65, DES VOEUX 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
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 26 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 26 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Sep 2023 - 22 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Sep 2023 - 22 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Aug 2021 - 02 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Aug 2021 - 02 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
04 Aug 2021 - 30 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 May 2020 - 27 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 May 2020 - 27 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Aug 2018 - 05 Apr 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Aug 2018 - 05 Apr 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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, SIU MAN
:
Chinese Name of Relevant Individual
李小敏
:
HKMA Registration Number
AH9056
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
26 Nov 2024
No
CUSTOMER SERVICE, DIRECT BANKING
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
26 Nov 2024
No
CUSTOMER SERVICE, DIRECT BANKING
Name of Registered Institution
SFC CE number
Business Address
CHINA CITIC BANK INTERNATIONAL LIMITED
AAF138
61-65, DES VOEUX ROAD CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH9056
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 26 Nov 2024
No
AH9056
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
Since 26 Nov 2024
No
AH9056
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
08 Sep 2023 - 22 Sep 2024
No
AH9056
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
08 Sep 2023 - 22 Sep 2024
No
AH9056
HANG SENG BANK, LIMITED
Type 1: dealing in securities
04 Aug 2021 - 02 Jun 2023
No
AH9056
HANG SENG BANK, LIMITED
Type 4: advising on securities
04 Aug 2021 - 02 Jun 2023
No
AH9056
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
04 Aug 2021 - 30 Jun 2022
No
AH9056
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
16 May 2020 - 27 Jun 2021
No
AH9056
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
16 May 2020 - 27 Jun 2021
No
AH9056
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
23 Aug 2018 - 05 Apr 2020
No
AH9056
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
23 Aug 2018 - 05 Apr 2020
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.