Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAI, KWOK LAM
Chinese Name of Relevant Individual
黎國林
HKMA Registration Number
AA1650
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
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Apr 2023 - 30 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
19 Apr 2023 - 30 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jan 2017 - 10 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Jan 2017 - 10 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
03 Jan 2017 - 17 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Aug 2013 - 18 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
05 Aug 2013 - 18 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Mar 2006 - 03 May 2013
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
07 Mar 2006 - 03 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
01 Jun 2004 - 05 Mar 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2004 - 05 Mar 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
17 May 2004 - 05 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 - 15 May 2004
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
LAI, KWOK LAM
:
Chinese Name of Relevant Individual
黎國林
:
HKMA Registration Number
AA1650
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1650
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
19 Apr 2023 - 30 Aug 2024
No
AA1650
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
19 Apr 2023 - 30 Aug 2024
No
AA1650
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Jan 2017 - 10 Aug 2018
No
AA1650
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Jan 2017 - 10 Aug 2018
No
AA1650
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 9: asset management
03 Jan 2017 - 17 Jul 2018
No
AA1650
BARCLAYS BANK PLC
Type 1: dealing in securities
05 Aug 2013 - 18 Jul 2016
No
AA1650
BARCLAYS BANK PLC
Type 4: advising on securities
05 Aug 2013 - 18 Jul 2016
No
AA1650
CREDIT SUISSE AG
Type 1: dealing in securities
07 Mar 2006 - 03 May 2013
No
AA1650
CREDIT SUISSE AG
Type 4: advising on securities
07 Mar 2006 - 03 May 2013
No
AA1650
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
01 Jun 2004 - 05 Mar 2006
No
AA1650
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
17 May 2004 - 05 Mar 2006
No
AA1650
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
17 May 2004 - 05 Mar 2006
No
AA1650
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 15 May 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.