Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MO, LISHA
Chinese Name of Relevant Individual
莫麗莎
HKMA Registration Number
AI1462
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
08 Jun 2022
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING STAFF
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
08 Jun 2022
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING STAFF
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 08 Jun 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
Since 08 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
12 May 2020 - 27 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
12 May 2020 - 27 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Nov 2019 - 05 May 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Apr 2019 - 31 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
26 Apr 2019 - 31 Oct 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
MO, LISHA
:
Chinese Name of Relevant Individual
莫麗莎
:
HKMA Registration Number
AI1462
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Jun 2022
No
PRIVATE BANKING STAFF
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Jun 2022
No
PRIVATE BANKING STAFF
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI1462
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 08 Jun 2022
No
AI1462
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 08 Jun 2022
No
AI1462
BNP PARIBAS
Type 1: dealing in securities
12 May 2020 - 27 May 2022
No
AI1462
BNP PARIBAS
Type 4: advising on securities
12 May 2020 - 27 May 2022
No
AI1462
UBS AG
Type 1: dealing in securities
05 Nov 2019 - 05 May 2020
No
AI1462
BNP PARIBAS
Type 1: dealing in securities
26 Apr 2019 - 31 Oct 2019
No
AI1462
BNP PARIBAS
Type 4: advising on securities
26 Apr 2019 - 31 Oct 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.