Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, KI YAN
Chinese Name of Relevant Individual
李奇欣
HKMA Registration Number
AG6259
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
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jun 2018 - 12 Jun 2026
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
24 Jan 2015 - 19 Jan 2018
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
24 Jan 2015 - 19 Jan 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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, KI YAN
:
Chinese Name of Relevant Individual
李奇欣
:
HKMA Registration Number
AG6259
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6259
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
28 Jun 2018 - 12 Jun 2026
No
AG6259
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
24 Jan 2015 - 19 Jan 2018
No
AG6259
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
24 Jan 2015 - 19 Jan 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.