Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, RAYMOND LEONARD
Chinese Name of Relevant Individual
李藹謙
HKMA Registration Number
AF4950
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
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Apr 2016 - 06 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
11 Apr 2016 - 06 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 9: asset management
Effective Period
11 Apr 2016 - 06 Jul 2016
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
09 Oct 2013 - 08 Apr 2016
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
09 Oct 2013 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 9: asset management
Effective Period
09 Oct 2013 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANQUE PRIVEE EDMOND DE ROTHSCHILD SA
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Feb 2012 - 30 Sep 2012
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANQUE PRIVEE EDMOND DE ROTHSCHILD SA
Regulated Activity
Type 4: advising on securities
Effective Period
13 Feb 2012 - 30 Sep 2012
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANQUE PRIVEE EDMOND DE ROTHSCHILD SA
Regulated Activity
Type 9: asset management
Effective Period
13 Feb 2012 - 30 Sep 2012
Is an Executive Officer? (Yes / No)
Yes
Records: 1-9 of 9
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, RAYMOND LEONARD
:
Chinese Name of Relevant Individual
李藹謙
:
HKMA Registration Number
AF4950
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4950
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
11 Apr 2016 - 06 Jul 2016
No
AF4950
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
11 Apr 2016 - 06 Jul 2016
No
AF4950
UNION BANCAIRE PRIVÉE, UBP SA
Type 9: asset management
11 Apr 2016 - 06 Jul 2016
No
AF4950
COUTTS & CO AG
Type 1: dealing in securities
09 Oct 2013 - 08 Apr 2016
No
AF4950
COUTTS & CO AG
Type 4: advising on securities
09 Oct 2013 - 08 Apr 2016
No
AF4950
COUTTS & CO AG
Type 9: asset management
09 Oct 2013 - 08 Apr 2016
No
AF4950
BANQUE PRIVEE EDMOND DE ROTHSCHILD SA
Type 1: dealing in securities
13 Feb 2012 - 30 Sep 2012
Yes
AF4950
BANQUE PRIVEE EDMOND DE ROTHSCHILD SA
Type 4: advising on securities
13 Feb 2012 - 30 Sep 2012
Yes
AF4950
BANQUE PRIVEE EDMOND DE ROTHSCHILD SA
Type 9: asset management
13 Feb 2012 - 30 Sep 2012
Yes
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.