Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIM, SIOK LING EILEEN
Chinese Name of Relevant Individual
林淑玲
HKMA Registration Number
AC5030
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
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Oct 2020 - 02 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
23 Oct 2020 - 02 Dec 2022
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
30 Jul 2012 - 24 Jul 2020
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
30 Jul 2012 - 24 Jul 2020
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
30 Jul 2012 - 24 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Jul 2012 - 15 Feb 2016
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
22 Jan 2011 - 11 Jul 2012
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
03 Apr 2006 - 25 Apr 2008
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
03 Apr 2006 - 25 Apr 2008
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
16 Mar 2005 - 17 Mar 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
LIM, SIOK LING EILEEN
:
Chinese Name of Relevant Individual
林淑玲
:
HKMA Registration Number
AC5030
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5030
UBS AG
Type 1: dealing in securities
23 Oct 2020 - 02 Dec 2022
No
AC5030
UBS AG
Type 4: advising on securities
23 Oct 2020 - 02 Dec 2022
No
AC5030
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
30 Jul 2012 - 24 Jul 2020
No
AC5030
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
30 Jul 2012 - 24 Jul 2020
No
AC5030
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
30 Jul 2012 - 24 Jul 2020
No
AC5030
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
30 Jul 2012 - 15 Feb 2016
No
AC5030
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
22 Jan 2011 - 11 Jul 2012
No
AC5030
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
03 Apr 2006 - 25 Apr 2008
No
AC5030
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
03 Apr 2006 - 25 Apr 2008
No
AC5030
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Mar 2005 - 17 Mar 2006
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.