Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, KA HIM
Chinese Name of Relevant Individual
李嘉謙
HKMA Registration Number
AI7048
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
KDB ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
17 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR ASSOCIATE, DCM & SYNDICATION
Remarks
Registered Institution
KDB ASIA LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
17 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR ASSOCIATE, DCM & SYNDICATION
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
KDB ASIA LIMITED
SFC CE number
ABC828
Business Address
SUITES 6402-6407, 64/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
KDB ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 17 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
KDB ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 17 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Sep 2021 - 27 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
22 Sep 2021 - 27 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
Effective Period
22 Sep 2021 - 27 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jul 2021 - 03 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
13 Jul 2021 - 03 Sep 2021
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
LI, KA HIM
:
Chinese Name of Relevant Individual
李嘉謙
:
HKMA Registration Number
AI7048
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
KDB ASIA LIMITED
Type 1: dealing in securities
17 May 2024
No
SENIOR ASSOCIATE, DCM & SYNDICATION
KDB ASIA LIMITED
Type 4: advising on securities
17 May 2024
No
SENIOR ASSOCIATE, DCM & SYNDICATION
Name of Registered Institution
SFC CE number
Business Address
KDB ASIA LIMITED
ABC828
SUITES 6402-6407, 64/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)
AI7048
KDB ASIA LIMITED
Type 1: dealing in securities
Since 17 May 2024
No
AI7048
KDB ASIA LIMITED
Type 4: advising on securities
Since 17 May 2024
No
AI7048
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
22 Sep 2021 - 27 Apr 2024
No
AI7048
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
22 Sep 2021 - 27 Apr 2024
No
AI7048
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
22 Sep 2021 - 27 Apr 2024
No
AI7048
UNITED OVERSEAS BANK LTD.
Type 1: dealing in securities
13 Jul 2021 - 03 Sep 2021
No
AI7048
UNITED OVERSEAS BANK LTD.
Type 4: advising on securities
13 Jul 2021 - 03 Sep 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.