Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAO, LI
Chinese Name of Relevant Individual
姚力
HKMA Registration Number
AI4703
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
First date of engagement
27 Aug 2021
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
First date of engagement
27 Aug 2021
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BNP PARIBAS
SFC CE number
AAF564
Business Address
60/F AND 63/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, 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
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 27 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
Since 27 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jul 2020 - 26 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jul 2020 - 26 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jul 2020 - 26 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jul 2020 - 26 Jul 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
YAO, LI
:
Chinese Name of Relevant Individual
姚力
:
HKMA Registration Number
AI4703
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BNP PARIBAS
Type 1: dealing in securities
27 Aug 2021
No
WEALTH MANAGEMENT
BNP PARIBAS
Type 4: advising on securities
27 Aug 2021
No
WEALTH MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
BNP PARIBAS
AAF564
60/F AND 63/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI4703
BNP PARIBAS
Type 1: dealing in securities
Since 27 Aug 2021
No
AI4703
BNP PARIBAS
Type 4: advising on securities
Since 27 Aug 2021
No
AI4703
CITIBANK, N.A.
Type 1: dealing in securities
18 Jul 2020 - 26 Jul 2021
No
AI4703
CITIBANK, N.A.
Type 4: advising on securities
18 Jul 2020 - 26 Jul 2021
No
AI4703
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
18 Jul 2020 - 26 Jul 2021
No
AI4703
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
18 Jul 2020 - 26 Jul 2021
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.