Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, WEN HSIN
Chinese Name of Relevant Individual
李文馨
HKMA Registration Number
AF0178
Other HKMA Registration Number(s)
AC3122, AF0030
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Apr 2018
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Apr 2018
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
LGT BANK AG
SFC CE number
AWF529
Business Address
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, 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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 28 Apr 2018
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
Since 28 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2016 - 06 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2016 - 06 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Feb 2011 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
26 Feb 2011 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Feb 2011 - 07 Mar 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
16 Feb 2011 - 07 Mar 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Sep 2010 - 30 Dec 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
28 Sep 2010 - 30 Dec 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
17 Nov 2005 - 21 Sep 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2004 - 21 Sep 2010
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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, WEN HSIN
:
Chinese Name of Relevant Individual
李文馨
:
HKMA Registration Number
AF0178
:
Other HKMA Registration Number(s)
AC3122, AF0030
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
28 Apr 2018
No
STAFF OF CLIENT ADVISOR
LGT BANK AG
Type 4: advising on securities
28 Apr 2018
No
STAFF OF CLIENT ADVISOR
Name of Registered Institution
SFC CE number
Business Address
LGT BANK AG
AWF529
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0178
LGT BANK AG
Type 1: dealing in securities
Since 28 Apr 2018
No
AF0178
LGT BANK AG
Type 4: advising on securities
Since 28 Apr 2018
No
AF0178
BNP PARIBAS
Type 1: dealing in securities
30 Sep 2016 - 06 Apr 2018
No
AF0178
BNP PARIBAS
Type 4: advising on securities
30 Sep 2016 - 06 Apr 2018
No
AF0178
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
26 Feb 2011 - 30 Sep 2016
No
AF0178
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
26 Feb 2011 - 30 Sep 2016
No
AF0030
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
16 Feb 2011 - 07 Mar 2011
No
AF0030
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
16 Feb 2011 - 07 Mar 2011
No
AC3122
BARCLAYS BANK PLC
Type 1: dealing in securities
28 Sep 2010 - 30 Dec 2010
No
AC3122
BARCLAYS BANK PLC
Type 4: advising on securities
28 Sep 2010 - 30 Dec 2010
No
AC3122
BARCLAYS BANK PLC
Type 4: advising on securities
17 Nov 2005 - 21 Sep 2010
No
AC3122
BARCLAYS BANK PLC
Type 1: dealing in securities
16 Sep 2004 - 21 Sep 2010
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.