Register of Securities Staff of AIs

Last updated on 18/06/2026

Name of Relevant Individual

TAM, LOK MAN ARION

Chinese Name of Relevant Individual

譚樂民

HKMA Registration Number

AA1430

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

DBS BANK (HONG KONG) LIMITED

Regulated Activity

Type 1: dealing in securities

Effective Period

04 Sep 2008 - 18 Nov 2025

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

04 Sep 2008 - 18 Nov 2025

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

11 Apr 2008 - 14 Apr 2008

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

11 Apr 2008 - 14 Apr 2008

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

CITIBANK (HONG KONG) LIMITED

Regulated Activity

Type 1: dealing in securities

Effective Period

22 Jul 2006 - 13 Dec 2007

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

22 Jul 2006 - 13 Dec 2007

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

CITIBANK (HONG KONG) LIMITED

Regulated Activity

Type 1: dealing in securities

Effective Period

01 Jul 2005 - 01 Mar 2006

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

01 Jul 2005 - 01 Mar 2006

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

CITIBANK, N.A.

Regulated Activity

Type 1: dealing in securities

Effective Period

01 Apr 2003 - 06 Jul 2005

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

CITIBANK, N.A.

Regulated Activity

Type 4: advising on securities

Effective Period

01 Apr 2003 - 06 Jul 2005

Is an Executive Officer? (Yes / No)

No

Records: 1-10 of 10

Public Disciplinary Actions

:

Name of Relevant Individual

TAM, LOK MAN ARION

:

Chinese Name of Relevant Individual

譚樂民

:

HKMA Registration Number

AA1430

Not Applicable

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

AA1430

DBS BANK (HONG KONG) LIMITED

Type 1: dealing in securities

04 Sep 2008 - 18 Nov 2025

No

AA1430

DBS BANK (HONG KONG) LIMITED

Type 4: advising on securities

04 Sep 2008 - 18 Nov 2025

No

AA1430

DBS BANK (HONG KONG) LIMITED

Type 1: dealing in securities

11 Apr 2008 - 14 Apr 2008

No

AA1430

DBS BANK (HONG KONG) LIMITED

Type 4: advising on securities

11 Apr 2008 - 14 Apr 2008

No

AA1430

CITIBANK (HONG KONG) LIMITED

Type 1: dealing in securities

22 Jul 2006 - 13 Dec 2007

No

AA1430

CITIBANK (HONG KONG) LIMITED

Type 4: advising on securities

22 Jul 2006 - 13 Dec 2007

No

AA1430

CITIBANK (HONG KONG) LIMITED

Type 1: dealing in securities

01 Jul 2005 - 01 Mar 2006

No

AA1430

CITIBANK (HONG KONG) LIMITED

Type 4: advising on securities

01 Jul 2005 - 01 Mar 2006

No

AA1430

CITIBANK, N.A.

Type 1: dealing in securities

01 Apr 2003 - 06 Jul 2005

No

AA1430

CITIBANK, N.A.

Type 4: advising on securities

01 Apr 2003 - 06 Jul 2005

No