Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, TSZ YAN
Chinese Name of Relevant Individual
李慈恩
HKMA Registration Number
AG8955
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
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jan 2025 - 12 Jun 2026
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
08 Jan 2025 - 12 Jun 2026
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
12 Sep 2015 - 04 May 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
12 Sep 2015 - 04 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, TSZ YAN
:
Chinese Name of Relevant Individual
李慈恩
:
HKMA Registration Number
AG8955
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8955
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Jan 2025 - 12 Jun 2026
No
AG8955
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Jan 2025 - 12 Jun 2026
No
AG8955
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
12 Sep 2015 - 04 May 2016
No
AG8955
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
12 Sep 2015 - 04 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.