Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, WAI SHAN
Chinese Name of Relevant Individual
李慧珊
HKMA Registration Number
AG0313
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
04 Nov 2025
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
First date of engagement
04 Nov 2025
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK J. SAFRA SARASIN AG
SFC CE number
AHX499
Business Address
40/F, EDINBURGH TOWER, THE LANDMARK, 15 QUEEN'S ROAD CENTRAL, HONG KONG.
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
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 04 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 04 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANQUE PICTET & CIE SA
Regulated Activity
Type 9: asset management
Effective Period
01 Jul 2025 - 20 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANQUE PICTET & CIE SA
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Nov 2023 - 20 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANQUE PICTET & CIE SA
Regulated Activity
Type 4: advising on securities
Effective Period
07 Nov 2023 - 20 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Apr 2016 - 06 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
06 Apr 2016 - 06 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Nov 2014 - 20 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
26 Nov 2014 - 20 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jul 2013 - 16 Nov 2014
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
12 Jul 2013 - 16 Nov 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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 SHAN
:
Chinese Name of Relevant Individual
李慧珊
:
HKMA Registration Number
AG0313
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
04 Nov 2025
No
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
04 Nov 2025
No
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
BANK J. SAFRA SARASIN AG
AHX499
40/F, EDINBURGH TOWER, THE LANDMARK, 15 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0313
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
Since 04 Nov 2025
No
AG0313
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
Since 04 Nov 2025
No
AG0313
BANQUE PICTET & CIE SA
Type 9: asset management
01 Jul 2025 - 20 Oct 2025
No
AG0313
BANQUE PICTET & CIE SA
Type 1: dealing in securities
07 Nov 2023 - 20 Oct 2025
No
AG0313
BANQUE PICTET & CIE SA
Type 4: advising on securities
07 Nov 2023 - 20 Oct 2025
No
AG0313
CREDIT SUISSE AG
Type 1: dealing in securities
06 Apr 2016 - 06 Nov 2023
No
AG0313
CREDIT SUISSE AG
Type 4: advising on securities
06 Apr 2016 - 06 Nov 2023
No
AG0313
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 Nov 2014 - 20 Mar 2016
No
AG0313
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
26 Nov 2014 - 20 Mar 2016
No
AG0313
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
12 Jul 2013 - 16 Nov 2014
No
AG0313
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
12 Jul 2013 - 16 Nov 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.