Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, CHI WA
Chinese Name of Relevant Individual
李志華
HKMA Registration Number
AH1661
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
22 Mar 2025
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
First date of engagement
22 Mar 2025
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK J. SAFRA SARASIN AG
SFC CE number
AHX499
Business Address
40/F, EDINBURGH TOWER, THE LANDMARK, 15 QUEEN'S 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
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 22 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 22 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jan 2022 - 05 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jan 2022 - 05 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2019 - 05 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2019 - 05 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 May 2016 - 02 Jan 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 May 2016 - 02 Jan 2022
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, CHI WA
:
Chinese Name of Relevant Individual
李志華
:
HKMA Registration Number
AH1661
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
22 Mar 2025
No
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
22 Mar 2025
No
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
BANK J. SAFRA SARASIN AG
AHX499
40/F, EDINBURGH TOWER, THE LANDMARK, 15 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1661
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
Since 22 Mar 2025
No
AH1661
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
Since 22 Mar 2025
No
AH1661
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
11 Jan 2022 - 05 Mar 2025
No
AH1661
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
11 Jan 2022 - 05 Mar 2025
No
AH1661
CITIBANK, N.A.
Type 1: dealing in securities
01 Sep 2019 - 05 Mar 2025
No
AH1661
CITIBANK, N.A.
Type 4: advising on securities
01 Sep 2019 - 05 Mar 2025
No
AH1661
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 May 2016 - 02 Jan 2022
No
AH1661
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
27 May 2016 - 02 Jan 2022
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.