Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, WAI LOK
Chinese Name of Relevant Individual
李偉樂
HKMA Registration Number
AH9838
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
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Feb 2026 - 11 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Feb 2026 - 11 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Feb 2023 - 16 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
15 Feb 2023 - 16 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Feb 2023 - 16 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
15 Feb 2023 - 16 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
Effective Period
15 Feb 2023 - 16 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Oct 2018 - 08 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 Oct 2018 - 08 Jan 2023
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, WAI LOK
:
Chinese Name of Relevant Individual
李偉樂
:
HKMA Registration Number
AH9838
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH9838
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
23 Feb 2026 - 11 May 2026
No
AH9838
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
23 Feb 2026 - 11 May 2026
No
AH9838
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
15 Feb 2023 - 16 Oct 2025
No
AH9838
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
15 Feb 2023 - 16 Oct 2025
No
AH9838
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
15 Feb 2023 - 16 Oct 2025
No
AH9838
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
15 Feb 2023 - 16 Oct 2025
No
AH9838
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
15 Feb 2023 - 16 Oct 2025
No
AH9838
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
29 Oct 2018 - 08 Jan 2023
No
AH9838
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
29 Oct 2018 - 08 Jan 2023
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.