Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, MAGGIE
Chinese Name of Relevant Individual
林燕鈴
HKMA Registration Number
AC0478
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
07 Jun 2021
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
07 Jun 2021
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD CENTRAL, HONG KONG.
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
Since 07 Jun 2021
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
Since 07 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Feb 2020 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
26 Feb 2020 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Aug 2017 - 14 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
18 Aug 2017 - 14 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jun 2016 - 27 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
20 Nov 2012 - 06 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Mar 2012 - 06 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Mar 2012 - 18 Nov 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FALCON PRIVATE BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jun 2011 - 03 Feb 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FALCON PRIVATE BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
29 Jun 2011 - 03 Feb 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jul 2010 - 23 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AIG PRIVATE BANK LTD
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Nov 2007 - 11 Mar 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AIG PRIVATE BANK LTD
Regulated Activity
Type 4: advising on securities
Effective Period
20 Nov 2007 - 11 Mar 2009
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 23
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, MAGGIE
:
Chinese Name of Relevant Individual
林燕鈴
:
HKMA Registration Number
AC0478
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
07 Jun 2021
No
RELATIONSHIP MANAGEMENT
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
07 Jun 2021
No
RELATIONSHIP MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0478
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 07 Jun 2021
No
AC0478
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 07 Jun 2021
No
AC0478
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
26 Feb 2020 - 30 Apr 2021
No
AC0478
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
26 Feb 2020 - 30 Apr 2021
No
AC0478
BNP PARIBAS
Type 1: dealing in securities
18 Aug 2017 - 14 Feb 2020
No
AC0478
BNP PARIBAS
Type 4: advising on securities
18 Aug 2017 - 14 Feb 2020
No
AC0478
EFG BANK AG
Type 1: dealing in securities
14 Jun 2016 - 27 Jul 2017
No
AC0478
BANK OF CHINA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
20 Nov 2012 - 06 Jun 2016
No
AC0478
BANK OF CHINA INTERNATIONAL LIMITED
Type 1: dealing in securities
09 Mar 2012 - 06 Jun 2016
No
AC0478
BANK OF CHINA INTERNATIONAL LIMITED
Type 4: advising on securities
09 Mar 2012 - 18 Nov 2012
No
AC0478
FALCON PRIVATE BANK LTD.
Type 1: dealing in securities
29 Jun 2011 - 03 Feb 2012
No
AC0478
FALCON PRIVATE BANK LTD.
Type 4: advising on securities
29 Jun 2011 - 03 Feb 2012
No
AC0478
BANK OF CHINA INTERNATIONAL LIMITED
Type 1: dealing in securities
24 Jul 2010 - 23 Jun 2011
No
AC0478
AIG PRIVATE BANK LTD
Type 1: dealing in securities
20 Nov 2007 - 11 Mar 2009
No
AC0478
AIG PRIVATE BANK LTD
Type 4: advising on securities
20 Nov 2007 - 11 Mar 2009
No
AC0478
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
26 Apr 2007 - 31 Aug 2007
No
AC0478
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
26 Apr 2007 - 31 Aug 2007
No
AC0478
DAH SING BANK, LIMITED
Type 1: dealing in securities
23 Dec 2006 - 24 Jan 2007
No
AC0478
DAH SING BANK, LIMITED
Type 4: advising on securities
23 Dec 2006 - 24 Jan 2007
No
AC0478
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
21 Apr 2004 - 03 May 2006
No
AC0478
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
21 Apr 2004 - 03 May 2006
No
AC0478
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 7: providing automated trading services
21 Apr 2004 - 21 Mar 2005
No
AC0478
STANDARD CHARTERED BANK
Type 1: dealing in securities
22 Aug 2003 - 21 Sep 2003
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.