Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, HOI YING ROWENA
Chinese Name of Relevant Individual
李凱盈
HKMA Registration Number
AC0667
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
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
15 Dec 2020 - 11 Jun 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Oct 2019 - 11 Jun 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
09 Oct 2019 - 11 Jun 2026
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
18 Aug 2006 - 20 Sep 2006
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
18 Aug 2006 - 20 Sep 2006
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
18 Aug 2006 - 20 Sep 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Oct 2003 - 18 Oct 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
03 Oct 2003 - 18 Oct 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
03 Oct 2003 - 18 Oct 2005
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, HOI YING ROWENA
:
Chinese Name of Relevant Individual
李凱盈
:
HKMA Registration Number
AC0667
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0667
SUMITOMO MITSUI BANKING CORPORATION
Type 6: advising on corporate finance
15 Dec 2020 - 11 Jun 2026
No
AC0667
SUMITOMO MITSUI BANKING CORPORATION
Type 1: dealing in securities
09 Oct 2019 - 11 Jun 2026
No
AC0667
SUMITOMO MITSUI BANKING CORPORATION
Type 4: advising on securities
09 Oct 2019 - 11 Jun 2026
No
AC0667
HANG SENG BANK, LIMITED
Type 1: dealing in securities
18 Aug 2006 - 20 Sep 2006
No
AC0667
HANG SENG BANK, LIMITED
Type 4: advising on securities
18 Aug 2006 - 20 Sep 2006
No
AC0667
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
18 Aug 2006 - 20 Sep 2006
No
AC0667
COMMERZBANK AG
Type 1: dealing in securities
03 Oct 2003 - 18 Oct 2005
No
AC0667
COMMERZBANK AG
Type 4: advising on securities
03 Oct 2003 - 18 Oct 2005
No
AC0667
COMMERZBANK AG
Type 6: advising on corporate finance
03 Oct 2003 - 18 Oct 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.