Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSE, LEE
Chinese Name of Relevant Individual
謝莉
HKMA Registration Number
AI7079
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HUA XIA BANK CO., LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
21 Apr 2026
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGER
Remarks
Registered Institution
HUA XIA BANK CO., LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
21 Apr 2026
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HUA XIA BANK CO., LIMITED
SFC CE number
BDQ794
Business Address
SUITES 1611-1615 ON 16/F AND THE WHOLE OF 18/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, 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
HUA XIA BANK CO., LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 21 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HUA XIA BANK CO., LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 21 Apr 2026
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
26 Sep 2023 - 10 Mar 2026
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
26 Sep 2023 - 10 Mar 2026
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
01 Oct 2022 - 03 Jul 2023
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
01 Oct 2022 - 03 Jul 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
16 Jul 2021 - 18 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
16 Jul 2021 - 18 Jan 2022
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
TSE, LEE
:
Chinese Name of Relevant Individual
謝莉
:
HKMA Registration Number
AI7079
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HUA XIA BANK CO., LIMITED
Type 1: dealing in securities
21 Apr 2026
No
MANAGER
HUA XIA BANK CO., LIMITED
Type 4: advising on securities
21 Apr 2026
No
MANAGER
Name of Registered Institution
SFC CE number
Business Address
HUA XIA BANK CO., LIMITED
BDQ794
SUITES 1611-1615 ON 16/F AND THE WHOLE OF 18/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI7079
HUA XIA BANK CO., LIMITED
Type 1: dealing in securities
Since 21 Apr 2026
No
AI7079
HUA XIA BANK CO., LIMITED
Type 4: advising on securities
Since 21 Apr 2026
No
AI7079
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 Sep 2023 - 10 Mar 2026
No
AI7079
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
26 Sep 2023 - 10 Mar 2026
No
AI7079
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
01 Oct 2022 - 03 Jul 2023
No
AI7079
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
01 Oct 2022 - 03 Jul 2023
No
AI7079
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
16 Jul 2021 - 18 Jan 2022
No
AI7079
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
16 Jul 2021 - 18 Jan 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.