Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, SHARON
Chinese Name of Relevant Individual
林婉霞
HKMA Registration Number
AA1633
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
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Aug 2018 - 16 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
30 Aug 2018 - 16 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Feb 2018 - 10 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
01 Feb 2018 - 10 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
03 Jan 2014 - 17 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Feb 2013 - 17 Nov 2014
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
25 Mar 2010 - 14 Nov 2012
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
25 Mar 2010 - 14 Nov 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Mar 2009 - 18 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jun 2008 - 13 Feb 2009
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
04 Jun 2008 - 13 Feb 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Oct 2005 - 13 Feb 2009
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 - 13 Feb 2009
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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, SHARON
:
Chinese Name of Relevant Individual
林婉霞
:
HKMA Registration Number
AA1633
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1633
ROYAL BANK OF CANADA
Type 1: dealing in securities
30 Aug 2018 - 16 Jul 2021
No
AA1633
ROYAL BANK OF CANADA
Type 4: advising on securities
30 Aug 2018 - 16 Jul 2021
No
AA1633
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
01 Feb 2018 - 10 Aug 2018
No
AA1633
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
01 Feb 2018 - 10 Aug 2018
No
AA1633
UBS AG
Type 4: advising on securities
03 Jan 2014 - 17 Nov 2014
No
AA1633
UBS AG
Type 1: dealing in securities
20 Feb 2013 - 17 Nov 2014
No
AA1633
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
25 Mar 2010 - 14 Nov 2012
No
AA1633
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
25 Mar 2010 - 14 Nov 2012
No
AA1633
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
02 Mar 2009 - 18 Mar 2010
No
AA1633
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
06 Jun 2008 - 13 Feb 2009
No
AA1633
CITIBANK, N.A.
Type 4: advising on securities
04 Jun 2008 - 13 Feb 2009
No
AA1633
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
01 Oct 2005 - 13 Feb 2009
No
AA1633
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 13 Feb 2009
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.