Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, KAM KWONG
Chinese Name of Relevant Individual
李錦江
HKMA Registration Number
AI0385
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
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Dec 2023 - 27 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Dec 2023 - 27 Mar 2024
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
25 Jul 2022 - 04 Nov 2023
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
25 Jul 2022 - 04 Nov 2023
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
25 Jul 2022 - 04 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Mar 2021 - 07 Jan 2022
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
20 Mar 2021 - 07 Jan 2022
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
04 Jan 2020 - 13 Jan 2021
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
04 Jan 2020 - 13 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jan 2019 - 29 Nov 2019
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
01 Jan 2019 - 29 Nov 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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, KAM KWONG
:
Chinese Name of Relevant Individual
李錦江
:
HKMA Registration Number
AI0385
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI0385
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
02 Dec 2023 - 27 Mar 2024
No
AI0385
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
02 Dec 2023 - 27 Mar 2024
No
AI0385
HANG SENG BANK, LIMITED
Type 1: dealing in securities
25 Jul 2022 - 04 Nov 2023
No
AI0385
HANG SENG BANK, LIMITED
Type 4: advising on securities
25 Jul 2022 - 04 Nov 2023
No
AI0385
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
25 Jul 2022 - 04 Nov 2023
No
AI0385
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
20 Mar 2021 - 07 Jan 2022
No
AI0385
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
20 Mar 2021 - 07 Jan 2022
No
AI0385
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
04 Jan 2020 - 13 Jan 2021
No
AI0385
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
04 Jan 2020 - 13 Jan 2021
No
AI0385
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Jan 2019 - 29 Nov 2019
No
AI0385
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Jan 2019 - 29 Nov 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.