Register of Securities Staff of AIs
Last updated on 23/04/2024
Name of Relevant Individual
LEE, HO HING
Chinese Name of Relevant Individual
李可興
HKMA Registration Number
AB4583
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
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Apr 2016 - 30 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
11 Apr 2016 - 30 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Sep 2012 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 4: advising on securities
Effective Period
25 Sep 2012 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jan 2008 - 11 Oct 2010
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jan 2008 - 11 Oct 2010
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Aug 2007 - 17 Jan 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
08 Aug 2007 - 17 Jan 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
03 Dec 2004 - 25 Jul 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2004 - 24 Aug 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jul 2004 - 24 Aug 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 30 Jun 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 30 Jun 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
LEE, HO HING
:
Chinese Name of Relevant Individual
李可興
:
HKMA Registration Number
AB4583
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AB4583
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
11 Apr 2016 - 30 Nov 2016
No
AB4583
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
11 Apr 2016 - 30 Nov 2016
No
AB4583
COUTTS & CO AG
Type 1: dealing in securities
25 Sep 2012 - 08 Apr 2016
No
AB4583
COUTTS & CO AG
Type 4: advising on securities
25 Sep 2012 - 08 Apr 2016
No
AB4583
CHINA CONSTRUCTION BANK CORPORATION
Type 1: dealing in securities
18 Jan 2008 - 11 Oct 2010
Yes
AB4583
CHINA CONSTRUCTION BANK CORPORATION
Type 4: advising on securities
18 Jan 2008 - 11 Oct 2010
Yes
AB4583
CHINA CONSTRUCTION BANK CORPORATION
Type 1: dealing in securities
08 Aug 2007 - 17 Jan 2008
No
AB4583
CHINA CONSTRUCTION BANK CORPORATION
Type 4: advising on securities
08 Aug 2007 - 17 Jan 2008
No
AB4583
BANK OF NEW YORK (THE)
Type 4: advising on securities
03 Dec 2004 - 25 Jul 2007
No
AB4583
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2004 - 24 Aug 2004
No
AB4583
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2004 - 24 Aug 2004
No
AB4583
STANDARD CHARTERED BANK
Type 1: dealing in securities
01 Apr 2003 - 30 Jun 2004
No
AB4583
STANDARD CHARTERED BANK
Type 4: advising on securities
01 Apr 2003 - 30 Jun 2004
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.