Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, LI
Chinese Name of Relevant Individual
黎藜
HKMA Registration Number
AJ4076
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
23 Feb 2024
Is an Executive Officer? (Yes / No)
Yes
Capacity
DEPARTMENT HEAD, TRADING, GLOBAL FINANCIAL MARKETS
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
23 Feb 2024
Is an Executive Officer? (Yes / No)
Yes
Capacity
DEPARTMENT HEAD, TRADING, GLOBAL FINANCIAL MARKETS
Remarks
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
23 Feb 2024
Is an Executive Officer? (Yes / No)
Yes
Capacity
DEPARTMENT HEAD, TRADING, GLOBAL FINANCIAL MARKETS
Remarks
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
23 Feb 2024
Is an Executive Officer? (Yes / No)
Yes
Capacity
DEPARTMENT HEAD, TRADING, GLOBAL FINANCIAL MARKETS
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DBS BANK (HONG KONG) LIMITED
SFC CE number
AAL664
Business Address
11TH FLOOR, THE CENTER, 99 QUEEN'S ROAD CENTRAL, HONG KONG.
Name of Registered Institution
DBS BANK LTD.
SFC CE number
AAC212
Business Address
G/F & 18/F, THE CENTER, 99 QUEEN'S ROAD 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
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 07 Nov 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 07 Nov 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 07 Nov 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 07 Nov 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Feb 2024 - 06 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Feb 2024 - 06 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Feb 2024 - 06 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
23 Feb 2024 - 06 Nov 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, LI
:
Chinese Name of Relevant Individual
黎藜
:
HKMA Registration Number
AJ4076
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Feb 2024
Yes
DEPARTMENT HEAD, TRADING, GLOBAL FINANCIAL MARKETS
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
23 Feb 2024
Yes
DEPARTMENT HEAD, TRADING, GLOBAL FINANCIAL MARKETS
DBS BANK LTD.
Type 1: dealing in securities
23 Feb 2024
Yes
DEPARTMENT HEAD, TRADING, GLOBAL FINANCIAL MARKETS
DBS BANK LTD.
Type 4: advising on securities
23 Feb 2024
Yes
DEPARTMENT HEAD, TRADING, GLOBAL FINANCIAL MARKETS
Name of Registered Institution
SFC CE number
Business Address
DBS BANK (HONG KONG) LIMITED
AAL664
11TH FLOOR, THE CENTER, 99 QUEEN'S ROAD CENTRAL, HONG KONG.
DBS BANK LTD.
AAC212
G/F & 18/F, THE CENTER, 99 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ4076
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 07 Nov 2024
Yes
AJ4076
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 07 Nov 2024
Yes
AJ4076
DBS BANK LTD.
Type 1: dealing in securities
Since 07 Nov 2024
Yes
AJ4076
DBS BANK LTD.
Type 4: advising on securities
Since 07 Nov 2024
Yes
AJ4076
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Feb 2024 - 06 Nov 2024
No
AJ4076
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
23 Feb 2024 - 06 Nov 2024
No
AJ4076
DBS BANK LTD.
Type 1: dealing in securities
23 Feb 2024 - 06 Nov 2024
No
AJ4076
DBS BANK LTD.
Type 4: advising on securities
23 Feb 2024 - 06 Nov 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.