Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, YEE WAH PETTY
Chinese Name of Relevant Individual
李綺華
HKMA Registration Number
AA1021
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
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jan 2019 - 26 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jan 2019 - 26 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Feb 2018 - 19 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
01 Feb 2018 - 19 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Mar 2015 - 01 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 4: advising on securities
Effective Period
12 Mar 2015 - 01 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Nov 2010 - 30 Jan 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
07 Nov 2010 - 30 Jan 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 9: asset management
Effective Period
07 Nov 2010 - 18 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Aug 2008 - 31 Oct 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ING BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jul 2008 - 29 Jan 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ING BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jun 2008 - 09 Jul 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ING BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Feb 2004 - 18 Jun 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 17 Feb 2004
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
01 Apr 2003 - 17 Feb 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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, YEE WAH PETTY
:
Chinese Name of Relevant Individual
李綺華
:
HKMA Registration Number
AA1021
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1021
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
08 Jan 2019 - 26 May 2021
No
AA1021
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
08 Jan 2019 - 26 May 2021
No
AA1021
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
01 Feb 2018 - 19 Dec 2018
No
AA1021
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
01 Feb 2018 - 19 Dec 2018
No
AA1021
BANK OF MONTREAL
Type 1: dealing in securities
12 Mar 2015 - 01 Sep 2015
No
AA1021
BANK OF MONTREAL
Type 4: advising on securities
12 Mar 2015 - 01 Sep 2015
No
AA1021
ABN AMRO BANK N.V.
Type 1: dealing in securities
07 Nov 2010 - 30 Jan 2015
No
AA1021
ABN AMRO BANK N.V.
Type 4: advising on securities
07 Nov 2010 - 30 Jan 2015
No
AA1021
ABN AMRO BANK N.V.
Type 9: asset management
07 Nov 2010 - 18 May 2014
No
AA1021
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
21 Aug 2008 - 31 Oct 2010
No
AA1021
ING BANK N.V.
Type 1: dealing in securities
15 Jul 2008 - 29 Jan 2010
No
AA1021
ING BANK N.V.
Type 1: dealing in securities
24 Jun 2008 - 09 Jul 2008
No
AA1021
ING BANK N.V.
Type 1: dealing in securities
18 Feb 2004 - 18 Jun 2008
No
AA1021
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 17 Feb 2004
No
AA1021
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 17 Feb 2004
No
AA1021
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
01 Apr 2003 - 17 Feb 2004
No
AA1021
DBS BANK (HONG KONG) LIMITED
Type 9: asset management
01 Apr 2003 - 17 Feb 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.