Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, SAU WAI
Chinese Name of Relevant Individual
李秀慧
HKMA Registration Number
AA1556
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
First date of engagement
20 Sep 2014
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
First date of engagement
29 Aug 2015
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
SFC CE number
AGM683
Business Address
SUITE 2918, 29/F, TWO PACIFIC PLACE, 88 QUEENSWAY, 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
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
Since 29 Aug 2015
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
Since 20 Sep 2014
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
01 Sep 2008 - 11 Mar 2012
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
12 Mar 2008 - 11 Mar 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Aug 2004 - 09 Mar 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jun 2003 - 09 Mar 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
28 Jun 2003 - 09 Mar 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 19 Jun 2003
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 19 Jun 2003
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, SAU WAI
:
Chinese Name of Relevant Individual
李秀慧
:
HKMA Registration Number
AA1556
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
20 Sep 2014
No
RELATIONSHIP MANAGER
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
29 Aug 2015
No
RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
CA INDOSUEZ (SWITZERLAND) SA
AGM683
SUITE 2918, 29/F, TWO PACIFIC PLACE, 88 QUEENSWAY, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1556
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
Since 29 Aug 2015
No
AA1556
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
Since 20 Sep 2014
No
AA1556
COUTTS & CO AG
Type 4: advising on securities
01 Sep 2008 - 11 Mar 2012
No
AA1556
COUTTS & CO AG
Type 1: dealing in securities
12 Mar 2008 - 11 Mar 2012
No
AA1556
HANG SENG BANK, LIMITED
Type 4: advising on securities
11 Aug 2004 - 09 Mar 2008
No
AA1556
HANG SENG BANK, LIMITED
Type 1: dealing in securities
28 Jun 2003 - 09 Mar 2008
No
AA1556
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
28 Jun 2003 - 09 Mar 2008
No
AA1556
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 19 Jun 2003
No
AA1556
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 19 Jun 2003
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.