Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, WING HIM
Chinese Name of Relevant Individual
李穎謙
HKMA Registration Number
AG3976
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
23 Apr 2026
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, WM
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
23 Apr 2026
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, WM
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A DES VOEUX 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 23 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 23 Apr 2026
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
07 Jul 2025 - 09 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jul 2025 - 09 Apr 2026
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
07 Jul 2025 - 09 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jun 2022 - 15 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jun 2022 - 15 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jun 2022 - 15 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jun 2022 - 15 Jun 2025
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
21 Aug 2021 - 11 Apr 2022
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
21 Aug 2021 - 11 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Mar 2020 - 20 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
31 Mar 2020 - 20 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jul 2014 - 30 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jul 2014 - 30 Sep 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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, WING HIM
:
Chinese Name of Relevant Individual
李穎謙
:
HKMA Registration Number
AG3976
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Apr 2026
No
SALES, WM
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
23 Apr 2026
No
SALES, WM
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3976
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 23 Apr 2026
No
AG3976
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 23 Apr 2026
No
AG3976
HANG SENG BANK, LIMITED
Type 1: dealing in securities
07 Jul 2025 - 09 Apr 2026
No
AG3976
HANG SENG BANK, LIMITED
Type 4: advising on securities
07 Jul 2025 - 09 Apr 2026
No
AG3976
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
07 Jul 2025 - 09 Apr 2026
No
AG3976
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jun 2022 - 15 Jun 2025
No
AG3976
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
22 Jun 2022 - 15 Jun 2025
No
AG3976
CITIBANK, N.A.
Type 1: dealing in securities
22 Jun 2022 - 15 Jun 2025
No
AG3976
CITIBANK, N.A.
Type 4: advising on securities
22 Jun 2022 - 15 Jun 2025
No
AG3976
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
21 Aug 2021 - 11 Apr 2022
No
AG3976
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
21 Aug 2021 - 11 Apr 2022
No
AG3976
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
31 Mar 2020 - 20 Jul 2021
No
AG3976
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
31 Mar 2020 - 20 Jul 2021
No
AG3976
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Jul 2014 - 30 Sep 2018
No
AG3976
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Jul 2014 - 30 Sep 2018
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.