Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, YI
Chinese Name of Relevant Individual
李怡
HKMA Registration Number
AH9858
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
11 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT MANAGER
Remarks
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Jul 2025
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
SFC CE number
ACX641
Business Address
25/F, AGRICULTURAL BANK OF CHINA TOWER, 50 CONNAUGHT 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
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 11 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Sep 2022 - 29 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 Sep 2022 - 29 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
13 Sep 2022 - 29 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Oct 2018 - 31 Jul 2022
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
30 Oct 2018 - 31 Jul 2022
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, YI
:
Chinese Name of Relevant Individual
李怡
:
HKMA Registration Number
AH9858
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
AGRICULTURAL BANK OF CHINA LIMITED
Type 1: dealing in securities
11 Jul 2025
No
ASSISTANT MANAGER
AGRICULTURAL BANK OF CHINA LIMITED
Type 4: advising on securities
11 Jul 2025
No
ASSISTANT MANAGER
Name of Registered Institution
SFC CE number
Business Address
AGRICULTURAL BANK OF CHINA LIMITED
ACX641
25/F, AGRICULTURAL BANK OF CHINA TOWER, 50 CONNAUGHT ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH9858
AGRICULTURAL BANK OF CHINA LIMITED
Type 1: dealing in securities
Since 11 Jul 2025
No
AH9858
AGRICULTURAL BANK OF CHINA LIMITED
Type 4: advising on securities
Since 11 Jul 2025
No
AH9858
HANG SENG BANK, LIMITED
Type 1: dealing in securities
13 Sep 2022 - 29 Jun 2025
No
AH9858
HANG SENG BANK, LIMITED
Type 4: advising on securities
13 Sep 2022 - 29 Jun 2025
No
AH9858
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
13 Sep 2022 - 29 Jun 2025
No
AH9858
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
30 Oct 2018 - 31 Jul 2022
No
AH9858
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
30 Oct 2018 - 31 Jul 2022
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.