Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, GA MEN CARMEN
Chinese Name of Relevant Individual
李珈旻
HKMA Registration Number
AF0074
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
24 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
SECURITIES SERVICES
Remarks
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
24 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
SECURITIES SERVICES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
SFC CE number
AAJ281
Business Address
SHANGHAI COMMERCIAL BANK TOWER, 12 QUEEN'S 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
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 24 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 24 Jul 2025
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
15 Jan 2015 - 06 Jun 2025
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
15 Jan 2015 - 06 Jun 2025
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
19 Feb 2011 - 08 Jul 2013
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
19 Feb 2011 - 08 Jul 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, GA MEN CARMEN
:
Chinese Name of Relevant Individual
李珈旻
:
HKMA Registration Number
AF0074
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
24 Jul 2025
No
SECURITIES SERVICES
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
24 Jul 2025
No
SECURITIES SERVICES
Name of Registered Institution
SFC CE number
Business Address
SHANGHAI COMMERCIAL BANK LIMITED
AAJ281
SHANGHAI COMMERCIAL BANK TOWER, 12 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0074
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
Since 24 Jul 2025
No
AF0074
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
Since 24 Jul 2025
No
AF0074
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
15 Jan 2015 - 06 Jun 2025
No
AF0074
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
15 Jan 2015 - 06 Jun 2025
No
AF0074
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
19 Feb 2011 - 08 Jul 2013
No
AF0074
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
19 Feb 2011 - 08 Jul 2013
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.