Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, KWOK CHING JOHNSON
Chinese Name of Relevant Individual
李國禎
HKMA Registration Number
AI3715
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
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jul 2023 - 05 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jul 2023 - 05 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 May 2021 - 15 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 May 2021 - 15 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Nov 2020 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Nov 2020 - 30 Apr 2021
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
14 Jan 2020 - 17 Jul 2020
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
14 Jan 2020 - 17 Jul 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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, KWOK CHING JOHNSON
:
Chinese Name of Relevant Individual
李國禎
:
HKMA Registration Number
AI3715
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI3715
INDUSTRIAL BANK CO., LTD.
Type 1: dealing in securities
07 Jul 2023 - 05 Dec 2025
No
AI3715
INDUSTRIAL BANK CO., LTD.
Type 4: advising on securities
07 Jul 2023 - 05 Dec 2025
No
AI3715
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
27 May 2021 - 15 Jun 2023
No
AI3715
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
27 May 2021 - 15 Jun 2023
No
AI3715
DAH SING BANK, LIMITED
Type 1: dealing in securities
06 Nov 2020 - 30 Apr 2021
No
AI3715
DAH SING BANK, LIMITED
Type 4: advising on securities
06 Nov 2020 - 30 Apr 2021
No
AI3715
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
14 Jan 2020 - 17 Jul 2020
No
AI3715
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
14 Jan 2020 - 17 Jul 2020
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.