Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, WO YAN
Chinese Name of Relevant Individual
李和恩
HKMA Registration Number
AF7871
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Apr 2020 - 24 Aug 2023
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
18 Apr 2020 - 24 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jan 2014 - 12 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jan 2014 - 12 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Oct 2012 - 30 Oct 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
19 Oct 2012 - 30 Oct 2012
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, WO YAN
:
Chinese Name of Relevant Individual
李和恩
:
HKMA Registration Number
AF7871
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7871
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
18 Apr 2020 - 24 Aug 2023
No
AF7871
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
18 Apr 2020 - 24 Aug 2023
No
AF7871
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jan 2014 - 12 Jul 2019
No
AF7871
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
22 Jan 2014 - 12 Jul 2019
No
AF7871
HANG SENG BANK, LIMITED
Type 1: dealing in securities
19 Oct 2012 - 30 Oct 2012
No
AF7871
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
19 Oct 2012 - 30 Oct 2012
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.