Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAM, LAP FAN FANNY
Chinese Name of Relevant Individual
任立勳
HKMA Registration Number
AC0237
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
First date of engagement
18 Feb 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT SERVICE EXECUTIVE
Remarks
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
First date of engagement
18 Feb 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT SERVICE EXECUTIVE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
SFC CE number
AAK077
Business Address
60/F, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
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
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 18 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
Since 18 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 May 2019 - 11 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
16 May 2019 - 11 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
16 May 2019 - 11 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
16 May 2019 - 11 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jun 2017 - 10 May 2019
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
14 May 2008 - 10 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Mar 2006 - 02 May 2008
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
10 May 2004 - 30 Mar 2006
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
10 May 2004 - 30 Mar 2006
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
09 Jul 2003 - 12 Apr 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
YAM, LAP FAN FANNY
:
Chinese Name of Relevant Individual
任立勳
:
HKMA Registration Number
AC0237
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
18 Feb 2021
No
CLIENT SERVICE EXECUTIVE
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
18 Feb 2021
No
CLIENT SERVICE EXECUTIVE
Name of Registered Institution
SFC CE number
Business Address
DEUTSCHE BANK AKTIENGESELLSCHAFT
AAK077
60/F, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0237
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
Since 18 Feb 2021
No
AC0237
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
Since 18 Feb 2021
No
AC0237
LGT BANK AG
Type 1: dealing in securities
16 May 2019 - 11 Feb 2021
No
AC0237
LGT BANK AG
Type 2: dealing in futures contracts
16 May 2019 - 11 Feb 2021
No
AC0237
LGT BANK AG
Type 4: advising on securities
16 May 2019 - 11 Feb 2021
No
AC0237
LGT BANK AG
Type 5: advising on futures contracts
16 May 2019 - 11 Feb 2021
No
AC0237
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
07 Jun 2017 - 10 May 2019
No
AC0237
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
14 May 2008 - 10 May 2019
No
AC0237
UBS AG
Type 1: dealing in securities
31 Mar 2006 - 02 May 2008
No
AC0237
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
10 May 2004 - 30 Mar 2006
No
AC0237
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
10 May 2004 - 30 Mar 2006
No
AC0237
STANDARD CHARTERED BANK
Type 1: dealing in securities
09 Jul 2003 - 12 Apr 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.