Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, SZE CHUNG DAVID
Chinese Name of Relevant Individual
林思聰
HKMA Registration Number
AA1630
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Apr 2019 - 04 Jan 2023
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
15 Apr 2019 - 04 Jan 2023
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
08 Feb 2013 - 06 Jun 2018
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
08 Feb 2013 - 06 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jan 2008 - 07 May 2012
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 - 04 Feb 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 - 04 Feb 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
LAM, SZE CHUNG DAVID
:
Chinese Name of Relevant Individual
林思聰
:
HKMA Registration Number
AA1630
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1630
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
15 Apr 2019 - 04 Jan 2023
No
AA1630
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
15 Apr 2019 - 04 Jan 2023
No
AA1630
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
08 Feb 2013 - 06 Jun 2018
No
AA1630
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
08 Feb 2013 - 06 Jun 2018
No
AA1630
UBS AG
Type 1: dealing in securities
11 Jan 2008 - 07 May 2012
No
AA1630
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 04 Feb 2005
No
AA1630
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 04 Feb 2005
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.