Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, SIU WAI
Chinese Name of Relevant Individual
李小慧
HKMA Registration Number
AG9112
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
09 Aug 2017 - 31 May 2018
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
09 Aug 2017 - 31 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Jan 2016 - 23 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
30 Jan 2016 - 23 Mar 2017
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
24 Sep 2015 - 20 Oct 2015
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
24 Sep 2015 - 20 Oct 2015
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
24 Sep 2015 - 20 Oct 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, SIU WAI
:
Chinese Name of Relevant Individual
李小慧
:
HKMA Registration Number
AG9112
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9112
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Aug 2017 - 31 May 2018
No
AG9112
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Aug 2017 - 31 May 2018
No
AG9112
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
30 Jan 2016 - 23 Mar 2017
No
AG9112
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
30 Jan 2016 - 23 Mar 2017
No
AG9112
HANG SENG BANK, LIMITED
Type 1: dealing in securities
24 Sep 2015 - 20 Oct 2015
No
AG9112
HANG SENG BANK, LIMITED
Type 4: advising on securities
24 Sep 2015 - 20 Oct 2015
No
AG9112
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
24 Sep 2015 - 20 Oct 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.