Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SIA, LI KENG WINNIE
Chinese Name of Relevant Individual
HKMA Registration Number
AH0910
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
CIMB BANK BERHAD
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 4: advising on securities
Effective Period
30 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Jan 2017 - 25 Jan 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 4: advising on securities
Effective Period
23 Jan 2017 - 25 Jan 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Dec 2016 - 09 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 4: advising on securities
Effective Period
08 Dec 2016 - 09 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Oct 2016 - 19 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 4: advising on securities
Effective Period
18 Oct 2016 - 19 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Mar 2016 - 15 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 4: advising on securities
Effective Period
11 Mar 2016 - 15 Mar 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
SIA, LI KENG WINNIE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH0910
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH0910
CIMB BANK BERHAD
Type 1: dealing in securities
30 Jan 2018
No
AH0910
CIMB BANK BERHAD
Type 4: advising on securities
30 Jan 2018
No
AH0910
CIMB BANK BERHAD
Type 1: dealing in securities
23 Jan 2017 - 25 Jan 2017
No
AH0910
CIMB BANK BERHAD
Type 4: advising on securities
23 Jan 2017 - 25 Jan 2017
No
AH0910
CIMB BANK BERHAD
Type 1: dealing in securities
08 Dec 2016 - 09 Dec 2016
No
AH0910
CIMB BANK BERHAD
Type 4: advising on securities
08 Dec 2016 - 09 Dec 2016
No
AH0910
CIMB BANK BERHAD
Type 1: dealing in securities
18 Oct 2016 - 19 Oct 2016
No
AH0910
CIMB BANK BERHAD
Type 4: advising on securities
18 Oct 2016 - 19 Oct 2016
No
AH0910
CIMB BANK BERHAD
Type 1: dealing in securities
11 Mar 2016 - 15 Mar 2016
No
AH0910
CIMB BANK BERHAD
Type 4: advising on securities
11 Mar 2016 - 15 Mar 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.