Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, KAM WING
Chinese Name of Relevant Individual
李錦榮
HKMA Registration Number
AC0239
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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2017 - 19 Jul 2022
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
30 Sep 2017 - 19 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Mar 2015 - 23 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
24 Mar 2015 - 23 Aug 2016
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
16 Nov 2006 - 25 Feb 2015
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
16 Nov 2006 - 25 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jul 2003 - 30 Apr 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jul 2003 - 30 Apr 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
09 Jul 2003 - 15 Jul 2004
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
LEE, KAM WING
:
Chinese Name of Relevant Individual
李錦榮
:
HKMA Registration Number
AC0239
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0239
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
30 Sep 2017 - 19 Jul 2022
No
AC0239
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
30 Sep 2017 - 19 Jul 2022
No
AC0239
CTBC BANK CO., LTD.
Type 1: dealing in securities
24 Mar 2015 - 23 Aug 2016
No
AC0239
CTBC BANK CO., LTD.
Type 4: advising on securities
24 Mar 2015 - 23 Aug 2016
No
AC0239
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
16 Nov 2006 - 25 Feb 2015
No
AC0239
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
16 Nov 2006 - 25 Feb 2015
No
AC0239
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
09 Jul 2003 - 30 Apr 2005
No
AC0239
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
09 Jul 2003 - 30 Apr 2005
No
AC0239
NANYANG COMMERCIAL BANK, LIMITED
Type 7: providing automated trading services
09 Jul 2003 - 15 Jul 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.