Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, KA WAI
Chinese Name of Relevant Individual
林嘉慧
HKMA Registration Number
AC5148
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
22 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
22 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
22 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
22 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
LGT BANK AG
SFC CE number
AWF529
Business Address
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, 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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 22 Jun 2024
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
Since 22 Jun 2024
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
Since 22 Jun 2024
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
Since 22 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Jul 2020 - 14 Jun 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
25 Jul 2020 - 14 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Nov 2013 - 10 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Mar 2005 - 06 Jun 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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, KA WAI
:
Chinese Name of Relevant Individual
林嘉慧
:
HKMA Registration Number
AC5148
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
22 Jun 2024
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 2: dealing in futures contracts
22 Jun 2024
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 4: advising on securities
22 Jun 2024
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 5: advising on futures contracts
22 Jun 2024
No
STAFF OF WEALTH MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
LGT BANK AG
AWF529
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5148
LGT BANK AG
Type 1: dealing in securities
Since 22 Jun 2024
No
AC5148
LGT BANK AG
Type 2: dealing in futures contracts
Since 22 Jun 2024
No
AC5148
LGT BANK AG
Type 4: advising on securities
Since 22 Jun 2024
No
AC5148
LGT BANK AG
Type 5: advising on futures contracts
Since 22 Jun 2024
No
AC5148
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
25 Jul 2020 - 14 Jun 2024
No
AC5148
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
25 Jul 2020 - 14 Jun 2024
No
AC5148
UBS AG
Type 1: dealing in securities
22 Nov 2013 - 10 Jul 2020
No
AC5148
WING LUNG BANK LIMITED
Type 1: dealing in securities
24 Mar 2005 - 06 Jun 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.
