Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, NGO TAK OTTO
Chinese Name of Relevant Individual
李傲得
HKMA Registration Number
AG9419
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 Dec 2023
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT
Remarks
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
08 Dec 2023
Is an Executive Officer? (Yes / No)
No
Capacity
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 Dec 2023
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 Dec 2023
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
05 Jun 2019 - 06 Aug 2023
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
05 Jun 2019 - 06 Aug 2023
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
28 Nov 2016 - 03 May 2019
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
28 Nov 2016 - 03 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Oct 2015 - 04 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Oct 2015 - 04 Nov 2016
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
LEE, NGO TAK OTTO
:
Chinese Name of Relevant Individual
李傲得
:
HKMA Registration Number
AG9419
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 Dec 2023
No
VICE PRESIDENT
UNITED OVERSEAS BANK LIMITED
Type 4: advising on securities
08 Dec 2023
No
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)
AG9419
UNITED OVERSEAS BANK LIMITED
Type 1: dealing in securities
Since 08 Dec 2023
No
AG9419
UNITED OVERSEAS BANK LIMITED
Type 4: advising on securities
Since 08 Dec 2023
No
AG9419
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Jun 2019 - 06 Aug 2023
No
AG9419
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Jun 2019 - 06 Aug 2023
No
AG9419
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
28 Nov 2016 - 03 May 2019
No
AG9419
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
28 Nov 2016 - 03 May 2019
No
AG9419
WING LUNG BANK LIMITED
Type 1: dealing in securities
20 Oct 2015 - 04 Nov 2016
No
AG9419
WING LUNG BANK LIMITED
Type 4: advising on securities
20 Oct 2015 - 04 Nov 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.