Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, WAI MAN
Chinese Name of Relevant Individual
李慧雯
HKMA Registration Number
AH0107
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Aug 2023
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING STAFF
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Aug 2023
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING STAFF
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A DES VOEUX 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 28 Aug 2023
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
Since 28 Aug 2023
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
08 Jun 2023 - 20 Aug 2023
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
08 Jun 2023 - 20 Aug 2023
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
08 Jun 2023 - 20 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Aug 2021 - 28 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 Aug 2021 - 28 Apr 2023
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
05 Dec 2019 - 28 Jul 2021
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
05 Dec 2019 - 28 Jul 2021
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
05 Dec 2019 - 28 Jul 2021
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
20 Apr 2017 - 25 Sep 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
20 Apr 2017 - 25 Sep 2019
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
22 Dec 2015 - 16 Sep 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
22 Dec 2015 - 16 Sep 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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
LI, WAI MAN
:
Chinese Name of Relevant Individual
李慧雯
:
HKMA Registration Number
AH0107
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 Aug 2023
No
PRIVATE BANKING STAFF
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 Aug 2023
No
PRIVATE BANKING STAFF
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH0107
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 28 Aug 2023
No
AH0107
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 28 Aug 2023
No
AH0107
HANG SENG BANK, LIMITED
Type 1: dealing in securities
08 Jun 2023 - 20 Aug 2023
No
AH0107
HANG SENG BANK, LIMITED
Type 4: advising on securities
08 Jun 2023 - 20 Aug 2023
No
AH0107
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
08 Jun 2023 - 20 Aug 2023
No
AH0107
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
12 Aug 2021 - 28 Apr 2023
No
AH0107
BANK OF SINGAPORE LIMITED
Type 4: advising on securities
12 Aug 2021 - 28 Apr 2023
No
AH0107
HANG SENG BANK, LIMITED
Type 1: dealing in securities
05 Dec 2019 - 28 Jul 2021
No
AH0107
HANG SENG BANK, LIMITED
Type 4: advising on securities
05 Dec 2019 - 28 Jul 2021
No
AH0107
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
05 Dec 2019 - 28 Jul 2021
No
AH0107
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
20 Apr 2017 - 25 Sep 2019
No
AH0107
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
20 Apr 2017 - 25 Sep 2019
No
AH0107
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
22 Dec 2015 - 16 Sep 2016
No
AH0107
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
22 Dec 2015 - 16 Sep 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.