Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, CHUI LING DORIS
Chinese Name of Relevant Individual
李翠玲
HKMA Registration Number
AA2395
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
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Feb 2008 - 31 Jul 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
15 Feb 2008 - 31 Jul 2008
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 Nov 2007 - 24 Jan 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AIG FINANCE (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Oct 2006 - 11 Nov 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Feb 2004 - 31 Aug 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 4: advising on securities
Effective Period
20 Feb 2004 - 31 Aug 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 7: providing automated trading services
Effective Period
20 Feb 2004 - 31 Aug 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, CHUI LING DORIS
:
Chinese Name of Relevant Individual
李翠玲
:
HKMA Registration Number
AA2395
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2395
BARCLAYS BANK PLC
Type 1: dealing in securities
15 Feb 2008 - 31 Jul 2008
No
AA2395
BARCLAYS BANK PLC
Type 4: advising on securities
15 Feb 2008 - 31 Jul 2008
No
AA2395
UBS AG
Type 1: dealing in securities
21 Nov 2007 - 24 Jan 2008
No
AA2395
AIG FINANCE (HONG KONG) LIMITED
Type 1: dealing in securities
05 Oct 2006 - 11 Nov 2007
No
AA2395
CREDIT SUISSE
Type 1: dealing in securities
20 Feb 2004 - 31 Aug 2004
No
AA2395
CREDIT SUISSE
Type 4: advising on securities
20 Feb 2004 - 31 Aug 2004
No
AA2395
CREDIT SUISSE
Type 7: providing automated trading services
20 Feb 2004 - 31 Aug 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.