Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, KA CHING
Chinese Name of Relevant Individual
李嘉靖
HKMA Registration Number
AH1741
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Sep 2024
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT FINANCIAL PLANNING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Sep 2024
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT FINANCIAL PLANNING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 28 Sep 2024
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
Since 28 Sep 2024
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
28 Jun 2022 - 20 Jul 2024
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
28 Jun 2022 - 20 Jul 2024
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
24 Dec 2020 - 17 Jun 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
24 Dec 2020 - 17 Jun 2022
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
24 Dec 2020 - 17 Jun 2022
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
24 Dec 2020 - 17 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Nov 2019 - 05 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Nov 2019 - 05 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jun 2016 - 19 Sep 2019
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
08 Jun 2016 - 19 Sep 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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, KA CHING
:
Chinese Name of Relevant Individual
李嘉靖
:
HKMA Registration Number
AH1741
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
28 Sep 2024
No
VICE PRESIDENT FINANCIAL PLANNING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
28 Sep 2024
No
VICE PRESIDENT FINANCIAL PLANNING
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1741
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 28 Sep 2024
No
AH1741
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 28 Sep 2024
No
AH1741
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 Jun 2022 - 20 Jul 2024
No
AH1741
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 Jun 2022 - 20 Jul 2024
No
AH1741
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
24 Dec 2020 - 17 Jun 2022
No
AH1741
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
24 Dec 2020 - 17 Jun 2022
No
AH1741
CITIBANK, N.A.
Type 1: dealing in securities
24 Dec 2020 - 17 Jun 2022
No
AH1741
CITIBANK, N.A.
Type 4: advising on securities
24 Dec 2020 - 17 Jun 2022
No
AH1741
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
09 Nov 2019 - 05 Jun 2020
No
AH1741
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
09 Nov 2019 - 05 Jun 2020
No
AH1741
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Jun 2016 - 19 Sep 2019
No
AH1741
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Jun 2016 - 19 Sep 2019
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.