Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, LOK MAN
Chinese Name of Relevant Individual
李樂文
HKMA Registration Number
AH9794
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
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jan 2024 - 11 Mar 2024
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
04 Jan 2024 - 11 Mar 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
17 Oct 2022 - 30 Apr 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
17 Oct 2022 - 30 Apr 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
17 Oct 2022 - 30 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Oct 2019 - 03 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Oct 2019 - 03 May 2022
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
25 Oct 2018 - 17 Sep 2019
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
25 Oct 2018 - 17 Sep 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
LI, LOK MAN
:
Chinese Name of Relevant Individual
李樂文
:
HKMA Registration Number
AH9794
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH9794
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Jan 2024 - 11 Mar 2024
No
AH9794
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Jan 2024 - 11 Mar 2024
No
AH9794
HANG SENG BANK, LIMITED
Type 1: dealing in securities
17 Oct 2022 - 30 Apr 2023
No
AH9794
HANG SENG BANK, LIMITED
Type 4: advising on securities
17 Oct 2022 - 30 Apr 2023
No
AH9794
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
17 Oct 2022 - 30 Apr 2023
No
AH9794
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Oct 2019 - 03 May 2022
No
AH9794
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Oct 2019 - 03 May 2022
No
AH9794
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
25 Oct 2018 - 17 Sep 2019
No
AH9794
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
25 Oct 2018 - 17 Sep 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.