Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, SIU WA
Chinese Name of Relevant Individual
李小華
HKMA Registration Number
AA2390
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
05 Jul 2013
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR SALES CONDUCT AND QUALITY MANAGER
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
05 Jul 2013
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR SALES CONDUCT AND QUALITY MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD CENTRAL, 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 05 Jul 2013
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
Since 05 Jul 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 May 2010 - 14 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 May 2010 - 14 May 2013
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
09 Dec 2008 - 19 Mar 2009
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
09 Dec 2008 - 19 Mar 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
06 Jun 2007 - 10 May 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
29 May 2007 - 10 May 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
29 May 2007 - 10 May 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
18 Jul 2005 - 03 May 2007
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
18 Jul 2005 - 03 May 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIC KA WAH BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Feb 2005 - 13 Jul 2005
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
03 Feb 2005 - 14 Feb 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BELGIAN BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 08 Jan 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BELGIAN BANK
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 08 Jan 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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, SIU WA
:
Chinese Name of Relevant Individual
李小華
:
HKMA Registration Number
AA2390
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
05 Jul 2013
No
SENIOR SALES CONDUCT AND QUALITY MANAGER
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Jul 2013
No
SENIOR SALES CONDUCT AND QUALITY MANAGER
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2390
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 05 Jul 2013
No
AA2390
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 05 Jul 2013
No
AA2390
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
25 May 2010 - 14 May 2013
No
AA2390
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
25 May 2010 - 14 May 2013
No
AA2390
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
09 Dec 2008 - 19 Mar 2009
No
AA2390
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
09 Dec 2008 - 19 Mar 2009
No
AA2390
HANG SENG BANK, LIMITED
Type 4: advising on securities
06 Jun 2007 - 10 May 2008
No
AA2390
HANG SENG BANK, LIMITED
Type 1: dealing in securities
29 May 2007 - 10 May 2008
No
AA2390
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
29 May 2007 - 10 May 2008
No
AA2390
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
18 Jul 2005 - 03 May 2007
No
AA2390
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
18 Jul 2005 - 03 May 2007
No
AA2390
CITIC KA WAH BANK LIMITED
Type 1: dealing in securities
16 Feb 2005 - 13 Jul 2005
No
AA2390
ABN AMRO BANK N.V.
Type 1: dealing in securities
03 Feb 2005 - 14 Feb 2005
No
AA2390
BELGIAN BANK
Type 1: dealing in securities
01 Apr 2003 - 08 Jan 2005
No
AA2390
BELGIAN BANK
Type 7: providing automated trading services
01 Apr 2003 - 08 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.