Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, TONG
Chinese Name of Relevant Individual
李彤
HKMA Registration Number
AI8968
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
02 Sep 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTOR SALES
Remarks
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
02 Sep 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTOR SALES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
SFC CE number
AAL483
Business Address
20/F-22/F, THREE EXCHANGE SQUARE, 8 CONNAUGHT PLACE, 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
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 02 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 02 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
08 Apr 2022 - 29 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 5: advising on futures contracts
Effective Period
08 Apr 2022 - 29 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Mar 2022 - 29 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
02 Mar 2022 - 29 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Mar 2022 - 29 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
02 Mar 2022 - 29 Aug 2024
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, TONG
:
Chinese Name of Relevant Individual
李彤
:
HKMA Registration Number
AI8968
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
02 Sep 2025
No
INVESTOR SALES
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
02 Sep 2025
No
INVESTOR SALES
Name of Registered Institution
SFC CE number
Business Address
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
AAL483
20/F-22/F, THREE EXCHANGE SQUARE, 8 CONNAUGHT PLACE, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI8968
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
Since 02 Sep 2025
No
AI8968
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
Since 02 Sep 2025
No
AI8968
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 2: dealing in futures contracts
08 Apr 2022 - 29 Aug 2024
No
AI8968
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 5: advising on futures contracts
08 Apr 2022 - 29 Aug 2024
No
AI8968
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
02 Mar 2022 - 29 Aug 2024
No
AI8968
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
02 Mar 2022 - 29 Aug 2024
No
AI8968
HSBC BANK PLC
Type 1: dealing in securities
02 Mar 2022 - 29 Aug 2024
No
AI8968
HSBC BANK PLC
Type 4: advising on securities
02 Mar 2022 - 29 Aug 2024
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.