Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CAO, RUICHEN
Chinese Name of Relevant Individual
曹芮晨
HKMA Registration Number
AI8173
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
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Nov 2021 - 15 May 2023
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
11 Nov 2021 - 15 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 9: asset management
Effective Period
11 Nov 2021 - 15 May 2023
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
11 Nov 2021 - 15 May 2023
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
11 Nov 2021 - 15 May 2023
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
CAO, RUICHEN
:
Chinese Name of Relevant Individual
曹芮晨
:
HKMA Registration Number
AI8173
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI8173
CITIBANK, N.A.
Type 1: dealing in securities
11 Nov 2021 - 15 May 2023
No
AI8173
CITIBANK, N.A.
Type 4: advising on securities
11 Nov 2021 - 15 May 2023
No
AI8173
CITIBANK, N.A.
Type 9: asset management
11 Nov 2021 - 15 May 2023
No
AI8173
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
11 Nov 2021 - 15 May 2023
No
AI8173
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
11 Nov 2021 - 15 May 2023
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.