Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, PUI LIM
Chinese Name of Relevant Individual
李佩濂
HKMA Registration Number
AG3996
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
06 Mar 2020
Is an Executive Officer? (Yes / No)
No
Capacity
PERSONAL BANKING
Remarks
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Mar 2020
Is an Executive Officer? (Yes / No)
No
Capacity
PERSONAL BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
SFC CE number
AAI250
Business Address
NANYANG COMMERCIAL BANK BUILDING, 151 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
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 06 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 06 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Dec 2017 - 15 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 Dec 2017 - 15 Jan 2020
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
25 Feb 2017 - 26 Nov 2017
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
25 Feb 2017 - 26 Nov 2017
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
08 Jul 2014 - 18 Dec 2016
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
08 Jul 2014 - 18 Dec 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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, PUI LIM
:
Chinese Name of Relevant Individual
李佩濂
:
HKMA Registration Number
AG3996
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
06 Mar 2020
No
PERSONAL BANKING
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
06 Mar 2020
No
PERSONAL BANKING
Name of Registered Institution
SFC CE number
Business Address
NANYANG COMMERCIAL BANK, LIMITED
AAI250
NANYANG COMMERCIAL BANK BUILDING, 151 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3996
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
Since 06 Mar 2020
No
AG3996
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
Since 06 Mar 2020
No
AG3996
DAH SING BANK, LIMITED
Type 1: dealing in securities
12 Dec 2017 - 15 Jan 2020
No
AG3996
DAH SING BANK, LIMITED
Type 4: advising on securities
12 Dec 2017 - 15 Jan 2020
No
AG3996
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
25 Feb 2017 - 26 Nov 2017
No
AG3996
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
25 Feb 2017 - 26 Nov 2017
No
AG3996
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
08 Jul 2014 - 18 Dec 2016
No
AG3996
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
08 Jul 2014 - 18 Dec 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.