Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, LIK KWO
Chinese Name of Relevant Individual
李力果
HKMA Registration Number
AC6485
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
04 Apr 2019
Is an Executive Officer? (Yes / No)
No
Capacity
PERSONAL BANKING
Remarks
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
04 Apr 2019
Is an Executive Officer? (Yes / No)
No
Capacity
PERSONAL BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
SFC CE number
AAI670
Business Address
33/F, ICBC TOWER, 3 GARDEN 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
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 04 Apr 2019
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
Since 04 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC WING HANG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Sep 2018 - 03 Mar 2019
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
07 Jan 2017 - 11 Aug 2018
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
07 Jan 2017 - 11 Aug 2018
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
08 Aug 2005 - 31 Jul 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
08 Aug 2005 - 31 Jul 2006
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, LIK KWO
:
Chinese Name of Relevant Individual
李力果
:
HKMA Registration Number
AC6485
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
04 Apr 2019
No
PERSONAL BANKING
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
04 Apr 2019
No
PERSONAL BANKING
Name of Registered Institution
SFC CE number
Business Address
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
AAI670
33/F, ICBC TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6485
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
Since 04 Apr 2019
No
AC6485
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
Since 04 Apr 2019
No
AC6485
OCBC WING HANG BANK LIMITED
Type 1: dealing in securities
04 Sep 2018 - 03 Mar 2019
No
AC6485
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
07 Jan 2017 - 11 Aug 2018
No
AC6485
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
07 Jan 2017 - 11 Aug 2018
No
AC6485
HANG SENG BANK, LIMITED
Type 1: dealing in securities
08 Aug 2005 - 31 Jul 2006
No
AC6485
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
08 Aug 2005 - 31 Jul 2006
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.