Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, LEE
Chinese Name of Relevant Individual
陳莉
HKMA Registration Number
AG7196
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
08 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT VICE PRESIDENT
Remarks
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
08 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT VICE PRESIDENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UNITED OVERSEAS BANK LIMITED
SFC CE number
AAK840
Business Address
28/F, CHAMPION TOWER, 3 GARDEN 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
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 08 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 08 Jul 2025
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 Sep 2022 - 29 Dec 2024
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 Sep 2022 - 29 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2019 - 07 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
17 May 2019 - 07 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAISHIN INTERNATIONAL BANK CO., LTD
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAISHIN INTERNATIONAL BANK CO., LTD
Regulated Activity
Type 4: advising on securities
Effective Period
10 Apr 2015
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
CHAN, LEE
:
Chinese Name of Relevant Individual
陳莉
:
HKMA Registration Number
AG7196
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UNITED OVERSEAS BANK LIMITED
Type 1: dealing in securities
08 Jul 2025
No
ASSISTANT VICE PRESIDENT
UNITED OVERSEAS BANK LIMITED
Type 4: advising on securities
08 Jul 2025
No
ASSISTANT VICE PRESIDENT
Name of Registered Institution
SFC CE number
Business Address
UNITED OVERSEAS BANK LIMITED
AAK840
28/F, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7196
UNITED OVERSEAS BANK LIMITED
Type 1: dealing in securities
Since 08 Jul 2025
No
AG7196
UNITED OVERSEAS BANK LIMITED
Type 4: advising on securities
Since 08 Jul 2025
No
AG7196
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 Sep 2022 - 29 Dec 2024
No
AG7196
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
26 Sep 2022 - 29 Dec 2024
No
AG7196
EFG BANK AG
Type 1: dealing in securities
17 May 2019 - 07 Sep 2022
No
AG7196
EFG BANK AG
Type 4: advising on securities
17 May 2019 - 07 Sep 2022
No
AG7196
TAISHIN INTERNATIONAL BANK CO., LTD
Type 1: dealing in securities
10 Apr 2015
No
AG7196
TAISHIN INTERNATIONAL BANK CO., LTD
Type 4: advising on securities
10 Apr 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.