Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, KA YAN
Chinese Name of Relevant Individual
李家茵
HKMA Registration Number
AC8820
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jun 2015 - 22 Apr 2024
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
03 Jun 2015 - 22 Apr 2024
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
07 Jun 2011 - 11 Apr 2015
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
07 Jun 2011 - 11 Apr 2015
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
24 Mar 2006 - 22 May 2011
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
24 Mar 2006 - 22 May 2011
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
21 Oct 2006 - 27 Dec 2009
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, KA YAN
:
Chinese Name of Relevant Individual
李家茵
:
HKMA Registration Number
AC8820
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC8820
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
03 Jun 2015 - 22 Apr 2024
No
AC8820
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
03 Jun 2015 - 22 Apr 2024
No
AC8820
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Jun 2011 - 11 Apr 2015
No
AC8820
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Jun 2011 - 11 Apr 2015
No
AC8820
HANG SENG BANK, LIMITED
Type 1: dealing in securities
24 Mar 2006 - 22 May 2011
No
AC8820
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
24 Mar 2006 - 22 May 2011
No
AC8820
HANG SENG BANK, LIMITED
Type 4: advising on securities
21 Oct 2006 - 27 Dec 2009
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.