Register of Securities Staff of AIs

Last updated on 18/06/2026

Name of Relevant Individual

CHAN, SHIU LAM

Chinese Name of Relevant Individual

陳紹林

HKMA Registration Number

AA0432

Current Registration

Not Applicable

Business Address

Conditions

Registration History

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

HKMA Registration Number

A

Registered Institution

CITIBANK (HONG KONG) LIMITED

Regulated Activity

Type 1: dealing in securities

Effective Period

29 Aug 2009 - 09 Sep 2009

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

CITIBANK (HONG KONG) LIMITED

Regulated Activity

Type 4: advising on securities

Effective Period

29 Aug 2009 - 09 Sep 2009

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 Nov 2005 - 03 Apr 2006

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 Nov 2005 - 03 Apr 2006

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

CITIC KA WAH BANK LIMITED

Regulated Activity

Type 1: dealing in securities

Effective Period

22 Mar 2005 - 17 Jul 2005

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

BANK OF EAST ASIA, LIMITED (THE)

Regulated Activity

Type 6: advising on corporate finance

Effective Period

04 Jun 2004 - 20 Mar 2005

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

BANK OF EAST ASIA, LIMITED (THE)

Regulated Activity

Type 9: asset management

Effective Period

04 Jun 2004 - 20 Mar 2005

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

BANK OF EAST ASIA, LIMITED (THE)

Regulated Activity

Type 1: dealing in securities

Effective Period

01 Apr 2003 - 20 Mar 2005

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

BANK OF EAST ASIA, LIMITED (THE)

Regulated Activity

Type 4: advising on securities

Effective Period

01 Apr 2003 - 20 Mar 2005

Is an Executive Officer? (Yes / No)

No

Records: 1-9 of 9

Public Disciplinary Actions

:

Name of Relevant Individual

CHAN, SHIU LAM

:

Chinese Name of Relevant Individual

陳紹林

:

HKMA Registration Number

AA0432

Not Applicable

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

AA0432

CITIBANK (HONG KONG) LIMITED

Type 1: dealing in securities

29 Aug 2009 - 09 Sep 2009

No

AA0432

CITIBANK (HONG KONG) LIMITED

Type 4: advising on securities

29 Aug 2009 - 09 Sep 2009

No

AA0432

BANK OF COMMUNICATIONS CO., LTD.

Type 1: dealing in securities

15 Nov 2005 - 03 Apr 2006

No

AA0432

BANK OF COMMUNICATIONS CO., LTD.

Type 4: advising on securities

15 Nov 2005 - 03 Apr 2006

No

AA0432

CITIC KA WAH BANK LIMITED

Type 1: dealing in securities

22 Mar 2005 - 17 Jul 2005

No

AA0432

BANK OF EAST ASIA, LIMITED (THE)

Type 6: advising on corporate finance

04 Jun 2004 - 20 Mar 2005

No

AA0432

BANK OF EAST ASIA, LIMITED (THE)

Type 9: asset management

04 Jun 2004 - 20 Mar 2005

No

AA0432

BANK OF EAST ASIA, LIMITED (THE)

Type 1: dealing in securities

01 Apr 2003 - 20 Mar 2005

No

AA0432

BANK OF EAST ASIA, LIMITED (THE)

Type 4: advising on securities

01 Apr 2003 - 20 Mar 2005

No