Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, KA KI
Chinese Name of Relevant Individual
李嘉琪
HKMA Registration Number
AG7105
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
25 Mar 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER, WM
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Mar 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER, WM
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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 OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 25 Mar 2025
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
Since 25 Mar 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
24 Apr 2024 - 19 Feb 2025
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
24 Apr 2024 - 19 Feb 2025
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
11 Jun 2021 - 28 Mar 2024
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
11 Jun 2021 - 28 Mar 2024
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
11 Jun 2021 - 28 Mar 2024
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
19 Apr 2018 - 28 Apr 2021
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
19 Apr 2018 - 28 Apr 2021
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
11 Jan 2017 - 17 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
11 Jan 2017 - 17 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Apr 2016 - 11 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
30 Apr 2016 - 11 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Oct 2015 - 03 Jan 2016
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
07 Oct 2015 - 03 Jan 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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, KA KI
:
Chinese Name of Relevant Individual
李嘉琪
:
HKMA Registration Number
AG7105
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
25 Mar 2025
No
RELATIONSHIP MANAGER, WM
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
25 Mar 2025
No
RELATIONSHIP MANAGER, WM
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7105
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 25 Mar 2025
No
AG7105
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 25 Mar 2025
No
AG7105
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
24 Apr 2024 - 19 Feb 2025
No
AG7105
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
24 Apr 2024 - 19 Feb 2025
No
AG7105
HANG SENG BANK, LIMITED
Type 1: dealing in securities
11 Jun 2021 - 28 Mar 2024
No
AG7105
HANG SENG BANK, LIMITED
Type 4: advising on securities
11 Jun 2021 - 28 Mar 2024
No
AG7105
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
11 Jun 2021 - 28 Mar 2024
No
AG7105
DAH SING BANK, LIMITED
Type 1: dealing in securities
19 Apr 2018 - 28 Apr 2021
No
AG7105
DAH SING BANK, LIMITED
Type 4: advising on securities
19 Apr 2018 - 28 Apr 2021
No
AG7105
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
11 Jan 2017 - 17 Nov 2017
No
AG7105
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
11 Jan 2017 - 17 Nov 2017
No
AG7105
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
30 Apr 2016 - 11 Oct 2016
No
AG7105
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
30 Apr 2016 - 11 Oct 2016
No
AG7105
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
07 Oct 2015 - 03 Jan 2016
No
AG7105
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
07 Oct 2015 - 03 Jan 2016
No
AG7105
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 Mar 2015 - 31 Aug 2015
No
AG7105
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 Mar 2015 - 31 Aug 2015
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.