Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
LI, SIU WAI MILLIE
Chinese Name of Relevant Individual

李小慧
HKMA Registration Number
AI9185
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
06 Apr 2022
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH MANAGER (SERVICE)
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Apr 2022
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH MANAGER (SERVICE)
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
LI, SIU WAI MILLIE
:
Chinese Name of Relevant Individual
李小慧
:
HKMA Registration Number
AI9185
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
06 Apr 2022
No
ASSISTANT BRANCH MANAGER (SERVICE)
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
06 Apr 2022
No
ASSISTANT BRANCH MANAGER (SERVICE)