Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, SAU MING
Chinese Name of Relevant Individual
李秀明
HKMA Registration Number
AC9436
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 May 2026
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING STAFF
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
28 May 2026
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING STAFF
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A DES VOEUX 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 28 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 28 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
31 May 2024 - 13 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2024 - 30 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Dec 2023 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
28 Dec 2023 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Aug 2023 - 05 Dec 2023
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
14 Aug 2023 - 05 Dec 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jul 2021 - 11 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
03 Jul 2021 - 11 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
07 Nov 2014 - 11 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
07 Nov 2014 - 11 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
14 May 2013 - 11 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jan 2012 - 11 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE BANK & TRUST
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Dec 2009 - 05 Dec 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 18
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, SAU MING
:
Chinese Name of Relevant Individual
李秀明
:
HKMA Registration Number
AC9436
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 May 2026
No
PRIVATE BANKING STAFF
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 May 2026
No
PRIVATE BANKING STAFF
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9436
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 28 May 2026
No
AC9436
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 28 May 2026
No
AC9436
UBS AG
Type 1: dealing in securities
31 May 2024 - 13 Feb 2026
No
AC9436
UBS AG
Type 4: advising on securities
31 May 2024 - 30 Jun 2025
No
AC9436
CREDIT SUISSE AG
Type 1: dealing in securities
28 Dec 2023 - 31 May 2024
No
AC9436
CREDIT SUISSE AG
Type 4: advising on securities
28 Dec 2023 - 31 May 2024
No
AC9436
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
14 Aug 2023 - 05 Dec 2023
No
AC9436
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
14 Aug 2023 - 05 Dec 2023
No
AC9436
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
03 Jul 2021 - 11 Aug 2023
No
AC9436
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
03 Jul 2021 - 11 Aug 2023
No
AC9436
LGT BANK AG
Type 2: dealing in futures contracts
07 Nov 2014 - 11 Jun 2021
No
AC9436
LGT BANK AG
Type 5: advising on futures contracts
07 Nov 2014 - 11 Jun 2021
No
AC9436
LGT BANK AG
Type 4: advising on securities
14 May 2013 - 11 Jun 2021
No
AC9436
LGT BANK AG
Type 1: dealing in securities
21 Jan 2012 - 11 Jun 2021
No
AC9436
SOCIETE GENERALE BANK & TRUST
Type 1: dealing in securities
12 Dec 2009 - 05 Dec 2011
No
AC9436
SOCIETE GENERALE BANK & TRUST
Type 1: dealing in securities
04 Jul 2007 - 01 Apr 2009
No
AC9436
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
23 May 2006 - 05 Jul 2007
No
AC9436
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
23 May 2006 - 05 Jul 2007
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.