Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, CHARLES
Chinese Name of Relevant Individual
劉智浩
HKMA Registration Number
AH9579
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
07 Nov 2024
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT SPECIALIST
Remarks
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
07 Nov 2024
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT SPECIALIST
Remarks
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Dec 2019
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT SPECIALIST
Remarks
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Dec 2019
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CITIBANK (HONG KONG) LIMITED
SFC CE number
AAY797
Business Address
CITI TOWER, ONE BAY EAST, NO. 83 HOI BUN ROAD, KWUN TONG, KOWLOON
Name of Registered Institution
CITIBANK, N.A.
SFC CE number
AAP937
Business Address
50TH FLOOR, CHAMPION TOWER, 3 GARDEN 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
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 07 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 07 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 28 Dec 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 28 Dec 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Dec 2019 - 31 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Dec 2019 - 31 Dec 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
10 Oct 2018 - 19 Aug 2019
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
10 Oct 2018 - 19 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
10 Oct 2018 - 19 Aug 2019
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
LIU, CHARLES
:
Chinese Name of Relevant Individual
劉智浩
:
HKMA Registration Number
AH9579
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Nov 2024
No
INVESTMENT SPECIALIST
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Nov 2024
No
INVESTMENT SPECIALIST
CITIBANK, N.A.
Type 1: dealing in securities
28 Dec 2019
No
INVESTMENT SPECIALIST
CITIBANK, N.A.
Type 4: advising on securities
28 Dec 2019
No
INVESTMENT SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
CITIBANK (HONG KONG) LIMITED
AAY797
CITI TOWER, ONE BAY EAST, NO. 83 HOI BUN ROAD, KWUN TONG, KOWLOON
CITIBANK, N.A.
AAP937
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH9579
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 07 Nov 2024
No
AH9579
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 07 Nov 2024
No
AH9579
CITIBANK, N.A.
Type 1: dealing in securities
Since 28 Dec 2019
No
AH9579
CITIBANK, N.A.
Type 4: advising on securities
Since 28 Dec 2019
No
AH9579
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
28 Dec 2019 - 31 Dec 2025
No
AH9579
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
28 Dec 2019 - 31 Dec 2025
No
AH9579
CREDIT SUISSE AG
Type 1: dealing in securities
10 Oct 2018 - 19 Aug 2019
No
AH9579
CREDIT SUISSE AG
Type 4: advising on securities
10 Oct 2018 - 19 Aug 2019
No
AH9579
CREDIT SUISSE AG
Type 6: advising on corporate finance
10 Oct 2018 - 19 Aug 2019
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.