Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, YUMING
Chinese Name of Relevant Individual
李羽明
HKMA Registration Number
AI7701
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
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Aug 2022 - 26 Mar 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2021 - 14 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
16 Sep 2021 - 14 Jul 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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, YUMING
:
Chinese Name of Relevant Individual
李羽明
:
HKMA Registration Number
AI7701
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI7701
SOCIETE GENERALE
Type 1: dealing in securities
16 Aug 2022 - 26 Mar 2023
No
AI7701
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
16 Sep 2021 - 14 Jul 2022
No
AI7701
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
16 Sep 2021 - 14 Jul 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.