Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, MAXINE
Chinese Name of Relevant Individual
李旻煊
HKMA Registration Number
AA2353
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Apr 2014 - 15 Jun 2014
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
15 Apr 2014 - 15 Jun 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Dec 2007 - 15 Apr 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Dec 2007 - 15 Apr 2009
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
29 Oct 2005 - 07 Nov 2007
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
25 Jul 2005 - 07 Nov 2007
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
25 Jul 2005 - 07 Nov 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 29 May 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 29 May 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Apr 2003 - 29 May 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 10 Jan 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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, MAXINE
:
Chinese Name of Relevant Individual
李旻煊
:
HKMA Registration Number
AA2353
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2353
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
15 Apr 2014 - 15 Jun 2014
No
AA2353
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
15 Apr 2014 - 15 Jun 2014
No
AA2353
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Dec 2007 - 15 Apr 2009
No
AA2353
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Dec 2007 - 15 Apr 2009
No
AA2353
HANG SENG BANK, LIMITED
Type 4: advising on securities
29 Oct 2005 - 07 Nov 2007
No
AA2353
HANG SENG BANK, LIMITED
Type 1: dealing in securities
25 Jul 2005 - 07 Nov 2007
No
AA2353
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
25 Jul 2005 - 07 Nov 2007
No
AA2353
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
01 Apr 2003 - 29 May 2005
No
AA2353
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
01 Apr 2003 - 29 May 2005
No
AA2353
BANK OF EAST ASIA, LIMITED (THE)
Type 6: advising on corporate finance
01 Apr 2003 - 29 May 2005
No
AA2353
BANK OF EAST ASIA, LIMITED (THE)
Type 7: providing automated trading services
01 Apr 2003 - 10 Jan 2005
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.