Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, CHI LAM
Chinese Name of Relevant Individual
李志霖
HKMA Registration Number
AC5442
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
20 Jan 2018
Is an Executive Officer? (Yes / No)
No
Capacity
BRANCH SALES MANAGER
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
20 Jan 2018
Is an Executive Officer? (Yes / No)
No
Capacity
BRANCH SALES MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 20 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 20 Jan 2018
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
18 Mar 2015 - 02 Dec 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Mar 2015 - 02 Dec 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Aug 2012 - 16 Jan 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
15 Aug 2012 - 16 Jan 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Apr 2005 - 18 Jul 2011
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
23 Apr 2005 - 18 Jul 2011
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
LI, CHI LAM
:
Chinese Name of Relevant Individual
李志霖
:
HKMA Registration Number
AC5442
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
20 Jan 2018
No
BRANCH SALES MANAGER
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
20 Jan 2018
No
BRANCH SALES MANAGER
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5442
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 20 Jan 2018
No
AC5442
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 20 Jan 2018
No
AC5442
WING LUNG BANK LIMITED
Type 1: dealing in securities
18 Mar 2015 - 02 Dec 2015
No
AC5442
WING LUNG BANK LIMITED
Type 4: advising on securities
18 Mar 2015 - 02 Dec 2015
No
AC5442
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
15 Aug 2012 - 16 Jan 2015
No
AC5442
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
15 Aug 2012 - 16 Jan 2015
No
AC5442
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
23 Apr 2005 - 18 Jul 2011
No
AC5442
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
23 Apr 2005 - 18 Jul 2011
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.