Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, AN PENG
Chinese Name of Relevant Individual
李安鵬
HKMA Registration Number
AF7985
Other HKMA Registration Number(s)
AF0576
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
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Dec 2025 - 31 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
30 Dec 2025 - 31 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jun 2025 - 20 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
19 Jun 2025 - 20 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
13 Jul 2020 - 29 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Mar 2011 - 29 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2012 - 26 Jul 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, AN PENG
:
Chinese Name of Relevant Individual
李安鵬
:
HKMA Registration Number
AF7985
:
Other HKMA Registration Number(s)
AF0576
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0576
ROYAL BANK OF CANADA
Type 1: dealing in securities
30 Dec 2025 - 31 Dec 2025
No
AF0576
ROYAL BANK OF CANADA
Type 4: advising on securities
30 Dec 2025 - 31 Dec 2025
No
AF0576
ROYAL BANK OF CANADA
Type 1: dealing in securities
19 Jun 2025 - 20 Jun 2025
No
AF0576
ROYAL BANK OF CANADA
Type 4: advising on securities
19 Jun 2025 - 20 Jun 2025
No
AF0576
ROYAL BANK OF CANADA
Type 2: dealing in futures contracts
13 Jul 2020 - 29 Jun 2022
No
AF0576
ROYAL BANK OF CANADA
Type 1: dealing in securities
25 Mar 2011 - 29 Jun 2022
No
AF7985
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Type 1: dealing in securities
01 Nov 2012 - 26 Jul 2016
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.