Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, KA WING
Chinese Name of Relevant Individual
利家榮
HKMA Registration Number
AH3986
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Oct 2021 - 12 Nov 2021
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
06 Oct 2021 - 12 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 May 2020 - 01 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 May 2020 - 01 Jun 2021
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
29 Sep 2018 - 18 Jan 2019
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
29 Sep 2018 - 18 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Feb 2017 - 23 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Feb 2017 - 23 May 2018
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, KA WING
:
Chinese Name of Relevant Individual
利家榮
:
HKMA Registration Number
AH3986
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3986
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
06 Oct 2021 - 12 Nov 2021
No
AH3986
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
06 Oct 2021 - 12 Nov 2021
No
AH3986
DAH SING BANK, LIMITED
Type 1: dealing in securities
06 May 2020 - 01 Jun 2021
No
AH3986
DAH SING BANK, LIMITED
Type 4: advising on securities
06 May 2020 - 01 Jun 2021
No
AH3986
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
29 Sep 2018 - 18 Jan 2019
No
AH3986
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
29 Sep 2018 - 18 Jan 2019
No
AH3986
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
22 Feb 2017 - 23 May 2018
No
AH3986
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
22 Feb 2017 - 23 May 2018
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.