Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, YEE KI FLORENCE
Chinese Name of Relevant Individual
李綺琪
HKMA Registration Number
AA1596
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
15 Jul 2020
Is an Executive Officer? (Yes / No)
No
Capacity
DEALER
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
15 Jul 2020
Is an Executive Officer? (Yes / No)
No
Capacity
DEALER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
EFG BANK AG
SFC CE number
AFV863
Business Address
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
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
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 15 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 15 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2013 - 25 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
01 Nov 2013 - 25 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jun 2012 - 01 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jun 2012 - 01 Nov 2013
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
23 May 2006 - 07 Jun 2011
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
23 May 2006 - 07 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 May 2006 - 07 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 May 2006 - 07 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Mar 2005 - 28 Apr 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
14 Mar 2005 - 28 Apr 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
21 May 2004 - 23 Dec 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
21 May 2004 - 23 Dec 2004
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 - 13 May 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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 KI FLORENCE
:
Chinese Name of Relevant Individual
李綺琪
:
HKMA Registration Number
AA1596
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
EFG BANK AG
Type 1: dealing in securities
15 Jul 2020
No
DEALER
EFG BANK AG
Type 4: advising on securities
15 Jul 2020
No
DEALER
Name of Registered Institution
SFC CE number
Business Address
EFG BANK AG
AFV863
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1596
EFG BANK AG
Type 1: dealing in securities
Since 15 Jul 2020
No
AA1596
EFG BANK AG
Type 4: advising on securities
Since 15 Jul 2020
No
AA1596
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Nov 2013 - 25 Jul 2016
No
AA1596
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Nov 2013 - 25 Jul 2016
No
AA1596
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
11 Jun 2012 - 01 Nov 2013
No
AA1596
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
11 Jun 2012 - 01 Nov 2013
No
AA1596
CITIBANK, N.A.
Type 1: dealing in securities
23 May 2006 - 07 Jun 2011
No
AA1596
CITIBANK, N.A.
Type 4: advising on securities
23 May 2006 - 07 Jun 2011
No
AA1596
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
23 May 2006 - 07 Jun 2011
No
AA1596
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
23 May 2006 - 07 Jun 2011
No
AA1596
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
14 Mar 2005 - 28 Apr 2006
No
AA1596
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
14 Mar 2005 - 28 Apr 2006
No
AA1596
UBS AG
Type 1: dealing in securities
21 May 2004 - 23 Dec 2004
No
AA1596
UBS AG
Type 4: advising on securities
21 May 2004 - 23 Dec 2004
No
AA1596
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 13 May 2004
No
AA1596
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 13 May 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.