Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, YUMO
Chinese Name of Relevant Individual
李愚默
HKMA Registration Number
AI9877
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
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2023 - 22 Apr 2024
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
01 Sep 2023 - 22 Apr 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
28 Jul 2022 - 21 Dec 2022
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
21 Jul 2022 - 21 Dec 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, YUMO
:
Chinese Name of Relevant Individual
李愚默
:
HKMA Registration Number
AI9877
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI9877
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
01 Sep 2023 - 22 Apr 2024
No
AI9877
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
01 Sep 2023 - 22 Apr 2024
No
AI9877
TAISHIN INTERNATIONAL BANK CO., LTD
Type 4: advising on securities
28 Jul 2022 - 21 Dec 2022
No
AI9877
TAISHIN INTERNATIONAL BANK CO., LTD
Type 1: dealing in securities
21 Jul 2022 - 21 Dec 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.