Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, YUN YUN VIVIEN
Chinese Name of Relevant Individual
李茵茵
HKMA Registration Number
AF2789
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
GOLDMAN SACHS ASIA BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Aug 2016 - 27 Oct 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Sep 2011 - 07 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Sep 2011 - 07 May 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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, YUN YUN VIVIEN
:
Chinese Name of Relevant Individual
李茵茵
:
HKMA Registration Number
AF2789
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2789
GOLDMAN SACHS ASIA BANK LIMITED
Type 1: dealing in securities
19 Aug 2016 - 27 Oct 2017
No
AF2789
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
06 Sep 2011 - 07 May 2013
No
AF2789
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
06 Sep 2011 - 07 May 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.