Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LUM, KWOK KEI
Chinese Name of Relevant Individual
林國基
HKMA Registration Number
AC0147
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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Aug 2005 - 10 May 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
15 Aug 2005 - 10 May 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Apr 2008 - 27 Dec 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Aug 2005 - 10 Aug 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
08 Aug 2005 - 10 Aug 2005
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
01 Jul 2004 - 04 Aug 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Jun 2003 - 30 Jun 2004
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
LUM, KWOK KEI
:
Chinese Name of Relevant Individual
林國基
:
HKMA Registration Number
AC0147
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0147
HANG SENG BANK, LIMITED
Type 1: dealing in securities
15 Aug 2005 - 10 May 2010
No
AC0147
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
15 Aug 2005 - 10 May 2010
No
AC0147
HANG SENG BANK, LIMITED
Type 4: advising on securities
11 Apr 2008 - 27 Dec 2009
No
AC0147
HANG SENG BANK, LIMITED
Type 1: dealing in securities
08 Aug 2005 - 10 Aug 2005
No
AC0147
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
08 Aug 2005 - 10 Aug 2005
No
AC0147
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2004 - 04 Aug 2005
No
AC0147
STANDARD CHARTERED BANK
Type 1: dealing in securities
23 Jun 2003 - 30 Jun 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.