Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, SHING YAN
Chinese Name of Relevant Individual
李承恩
HKMA Registration Number
AG7528
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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 May 2016 - 13 Oct 2016
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
20 May 2016 - 13 Oct 2016
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
09 May 2015 - 02 May 2016
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
09 May 2015 - 02 May 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, SHING YAN
:
Chinese Name of Relevant Individual
李承恩
:
HKMA Registration Number
AG7528
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7528
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 May 2016 - 13 Oct 2016
No
AG7528
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
20 May 2016 - 13 Oct 2016
No
AG7528
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
09 May 2015 - 02 May 2016
No
AG7528
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
09 May 2015 - 02 May 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.