Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, PATSY
Chinese Name of Relevant Individual
李栢斯
HKMA Registration Number
AI1150
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 OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Mar 2023 - 12 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
18 Mar 2023 - 12 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Mar 2019 - 02 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Mar 2019 - 02 May 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, PATSY
:
Chinese Name of Relevant Individual
李栢斯
:
HKMA Registration Number
AI1150
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI1150
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
18 Mar 2023 - 12 Jan 2025
No
AI1150
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
18 Mar 2023 - 12 Jan 2025
No
AI1150
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
22 Mar 2019 - 02 May 2022
No
AI1150
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
22 Mar 2019 - 02 May 2022
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.