Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, KA HEI
Chinese Name of Relevant Individual
李家希
HKMA Registration Number
AI5856
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
29 Jan 2026
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS BANKING
Remarks
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
29 Jan 2026
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
SFC CE number
AAI670
Business Address
33/F, ICBC TOWER, 3 GARDEN 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
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 29 Jan 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 29 Jan 2026
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
03 Sep 2024 - 31 Oct 2025
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
03 Sep 2024 - 31 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAISHIN INTERNATIONAL BANK CO., LTD
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Aug 2022 - 03 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAISHIN INTERNATIONAL BANK CO., LTD
Regulated Activity
Type 4: advising on securities
Effective Period
11 Aug 2022 - 03 Aug 2024
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
28 Jan 2021 - 19 Feb 2022
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
28 Jan 2021 - 19 Feb 2022
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, KA HEI
:
Chinese Name of Relevant Individual
李家希
:
HKMA Registration Number
AI5856
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
29 Jan 2026
No
BUSINESS BANKING
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
29 Jan 2026
No
BUSINESS BANKING
Name of Registered Institution
SFC CE number
Business Address
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
AAI670
33/F, ICBC TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI5856
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
Since 29 Jan 2026
No
AI5856
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
Since 29 Jan 2026
No
AI5856
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
03 Sep 2024 - 31 Oct 2025
No
AI5856
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
03 Sep 2024 - 31 Oct 2025
No
AI5856
TAISHIN INTERNATIONAL BANK CO., LTD
Type 1: dealing in securities
11 Aug 2022 - 03 Aug 2024
No
AI5856
TAISHIN INTERNATIONAL BANK CO., LTD
Type 4: advising on securities
11 Aug 2022 - 03 Aug 2024
No
AI5856
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
28 Jan 2021 - 19 Feb 2022
No
AI5856
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
28 Jan 2021 - 19 Feb 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.