Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LYU, FENGZE
Chinese Name of Relevant Individual
呂丰澤
HKMA Registration Number
AI1800
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
06 Jun 2019
Is an Executive Officer? (Yes / No)
No
Capacity
GENERAL MANAGER & HEAD OF DEBT CAPITAL MARKETS
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
02 Aug 2019
Is an Executive Officer? (Yes / No)
No
Capacity
GENERAL MANAGER & HEAD OF DEBT CAPITAL MARKETS
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
29 Dec 2025
Is an Executive Officer? (Yes / No)
Yes
Capacity
GENERAL MANAGER & HEAD OF DEBT CAPITAL MARKETS
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
Registered Institution
Effective Date
Description
1
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Effective Date
29 Dec 2025
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
2
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Effective Date
29 Dec 2025
Description
For Type 6 regulated activity, the Executive Officer shall, when actively participating in or when directly supervising the business of such activity, do so under the advice of another Executive Officer of CHINA CITIC BANK INTERNATIONAL LIMITED not subject to a similar condition.
3
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Effective Date
29 Dec 2025
Description
For Type 6 regulated activity, the Executive Officer shall within 6 months from the effective date of consent for appointment as an Executive Officer for the relevant regulated activity (or within such further period as the Monetary Authority may agree in writing) have passed the relevant recognized local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Securities and Futures Commission and informed the Monetary Authority of the examination result(s).
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 04 Jun 2026
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 04 Jun 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 29 Dec 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Oct 2025 - 03 Jun 2026
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Oct 2025 - 03 Jun 2026
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Aug 2019 - 07 Oct 2025
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
06 Jun 2019 - 07 Oct 2025
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
LYU, FENGZE
:
Chinese Name of Relevant Individual
呂丰澤
:
HKMA Registration Number
AI1800
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
06 Jun 2019
No
GENERAL MANAGER & HEAD OF DEBT CAPITAL MARKETS
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
02 Aug 2019
No
GENERAL MANAGER & HEAD OF DEBT CAPITAL MARKETS
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 6: advising on corporate finance
29 Dec 2025
Yes
GENERAL MANAGER & HEAD OF DEBT CAPITAL MARKETS
Name of Registered Institution
SFC CE number
Business Address
CHINA CITIC BANK INTERNATIONAL LIMITED
AAF138
61-65, DES VOEUX ROAD CENTRAL, HONG KONG
Registered Institution
Effective Date
Description
CHINA CITIC BANK INTERNATIONAL LIMITED
1
29 Dec 2025
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
CHINA CITIC BANK INTERNATIONAL LIMITED
2
29 Dec 2025
For Type 6 regulated activity, the Executive Officer shall, when actively participating in or when directly supervising the business of such activity, do so under the advice of another Executive Officer of CHINA CITIC BANK INTERNATIONAL LIMITED not subject to a similar condition.
CHINA CITIC BANK INTERNATIONAL LIMITED
3
29 Dec 2025
For Type 6 regulated activity, the Executive Officer shall within 6 months from the effective date of consent for appointment as an Executive Officer for the relevant regulated activity (or within such further period as the Monetary Authority may agree in writing) have passed the relevant recognized local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Securities and Futures Commission and informed the Monetary Authority of the examination result(s).
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI1800
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 04 Jun 2026
No
AI1800
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
Since 04 Jun 2026
No
AI1800
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 6: advising on corporate finance
Since 29 Dec 2025
Yes
AI1800
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
08 Oct 2025 - 03 Jun 2026
Yes
AI1800
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
08 Oct 2025 - 03 Jun 2026
Yes
AI1800
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
02 Aug 2019 - 07 Oct 2025
No
AI1800
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
06 Jun 2019 - 07 Oct 2025
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.