Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, LOK YIN
Chinese Name of Relevant Individual
李樂然
HKMA Registration Number
AH4937
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
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Nov 2022 - 11 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
02 Nov 2022 - 11 Mar 2025
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 May 2019 - 11 Mar 2025
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 May 2019 - 11 Mar 2025
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
20 Sep 2018 - 14 Apr 2019
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
20 Sep 2018 - 14 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC WING HANG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jun 2017 - 01 Aug 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, LOK YIN
:
Chinese Name of Relevant Individual
李樂然
:
HKMA Registration Number
AH4937
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH4937
DBS BANK LTD.
Type 1: dealing in securities
02 Nov 2022 - 11 Mar 2025
No
AH4937
DBS BANK LTD.
Type 4: advising on securities
02 Nov 2022 - 11 Mar 2025
No
AH4937
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 May 2019 - 11 Mar 2025
No
AH4937
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 May 2019 - 11 Mar 2025
No
AH4937
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
20 Sep 2018 - 14 Apr 2019
No
AH4937
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
20 Sep 2018 - 14 Apr 2019
No
AH4937
OCBC WING HANG BANK LIMITED
Type 1: dealing in securities
16 Jun 2017 - 01 Aug 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.