Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, WAI YAN
Chinese Name of Relevant Individual
李慧欣
HKMA Registration Number
AF3765
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
First date of engagement
07 Aug 2023
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT SERVICE EXECUTIVE
Remarks
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
First date of engagement
07 Aug 2023
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT SERVICE EXECUTIVE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
SFC CE number
AAK077
Business Address
60/F, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
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
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 07 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
Since 07 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
14 May 2022 - 30 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
14 May 2022 - 30 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jun 2017 - 22 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Sep 2015 - 22 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Apr 2014 - 18 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 4: advising on securities
Effective Period
02 Apr 2014 - 18 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Nov 2011 - 31 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Nov 2011 - 31 Mar 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, WAI YAN
:
Chinese Name of Relevant Individual
李慧欣
:
HKMA Registration Number
AF3765
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
07 Aug 2023
No
CLIENT SERVICE EXECUTIVE
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
07 Aug 2023
No
CLIENT SERVICE EXECUTIVE
Name of Registered Institution
SFC CE number
Business Address
DEUTSCHE BANK AKTIENGESELLSCHAFT
AAK077
60/F, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3765
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
Since 07 Aug 2023
No
AF3765
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
Since 07 Aug 2023
No
AF3765
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
14 May 2022 - 30 Jun 2022
No
AF3765
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
14 May 2022 - 30 Jun 2022
No
AF3765
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
07 Jun 2017 - 22 Apr 2022
No
AF3765
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
21 Sep 2015 - 22 Apr 2022
No
AF3765
COUTTS & CO AG
Type 1: dealing in securities
02 Apr 2014 - 18 Sep 2015
No
AF3765
COUTTS & CO AG
Type 4: advising on securities
02 Apr 2014 - 18 Sep 2015
No
AF3765
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
11 Nov 2011 - 31 Mar 2014
No
AF3765
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
11 Nov 2011 - 31 Mar 2014
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.