Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LUM, YIN LING
Chinese Name of Relevant Individual
林燕羚
HKMA Registration Number
AA1521
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
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Apr 2011 - 18 Sep 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
04 Apr 2011 - 18 Sep 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Nov 2009 - 12 Jan 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
30 Nov 2009 - 12 Jan 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
RBS COUTTS BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2008 - 26 Nov 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
RBS COUTTS BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Mar 2008 - 26 Nov 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
RBS COUTTS BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jul 2006 - 12 Mar 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Aug 2004 - 02 Jul 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 4: advising on securities
Effective Period
26 Aug 2004 - 02 Jul 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 7: providing automated trading services
Effective Period
26 Aug 2004 - 02 Jan 2005
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 - 26 Jul 2004
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
LUM, YIN LING
:
Chinese Name of Relevant Individual
林燕羚
:
HKMA Registration Number
AA1521
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1521
CREDIT SUISSE AG
Type 1: dealing in securities
04 Apr 2011 - 18 Sep 2012
No
AA1521
CREDIT SUISSE AG
Type 4: advising on securities
04 Apr 2011 - 18 Sep 2012
No
AA1521
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
30 Nov 2009 - 12 Jan 2011
No
AA1521
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
30 Nov 2009 - 12 Jan 2011
No
AA1521
RBS COUTTS BANK AG
Type 4: advising on securities
01 Sep 2008 - 26 Nov 2009
No
AA1521
RBS COUTTS BANK AG
Type 1: dealing in securities
19 Mar 2008 - 26 Nov 2009
No
AA1521
RBS COUTTS BANK AG
Type 1: dealing in securities
11 Jul 2006 - 12 Mar 2008
No
AA1521
CREDIT SUISSE
Type 1: dealing in securities
26 Aug 2004 - 02 Jul 2006
No
AA1521
CREDIT SUISSE
Type 4: advising on securities
26 Aug 2004 - 02 Jul 2006
No
AA1521
CREDIT SUISSE
Type 7: providing automated trading services
26 Aug 2004 - 02 Jan 2005
No
AA1521
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 26 Jul 2004
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.