Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, YAN YIM
Chinese Name of Relevant Individual
李欣艷
HKMA Registration Number
AH7664
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
15 Jul 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
15 Jul 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 15 Jul 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 15 Jul 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
29 Jun 2023 - 29 Jun 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
29 Jun 2023 - 29 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
22 May 2019 - 09 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
22 May 2019 - 09 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Apr 2018 - 12 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
19 Apr 2018 - 12 Apr 2019
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, YAN YIM
:
Chinese Name of Relevant Individual
李欣艷
:
HKMA Registration Number
AH7664
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
15 Jul 2025
No
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
15 Jul 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)
AH7664
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
Since 15 Jul 2025
No
AH7664
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
Since 15 Jul 2025
No
AH7664
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
29 Jun 2023 - 29 Jun 2025
No
AH7664
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
29 Jun 2023 - 29 Jun 2025
No
AH7664
CTBC BANK CO., LTD.
Type 1: dealing in securities
22 May 2019 - 09 Aug 2021
No
AH7664
CTBC BANK CO., LTD.
Type 4: advising on securities
22 May 2019 - 09 Aug 2021
No
AH7664
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
19 Apr 2018 - 12 Apr 2019
No
AH7664
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
19 Apr 2018 - 12 Apr 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.