Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, SZE WAN PRISCILLA
Chinese Name of Relevant Individual
林詩韻
HKMA Registration Number
AC6138
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2013 - 16 May 2014
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
01 Nov 2013 - 16 May 2014
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
08 Sep 2010 - 01 Nov 2013
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
08 Sep 2010 - 01 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2008 - 25 Aug 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2008 - 25 Aug 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jun 2008 - 07 Aug 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jun 2008 - 07 Aug 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jun 2008 - 07 Aug 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jul 2005 - 07 Aug 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 May 2008 - 12 May 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 May 2008 - 12 May 2008
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
LAM, SZE WAN PRISCILLA
:
Chinese Name of Relevant Individual
林詩韻
:
HKMA Registration Number
AC6138
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6138
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Nov 2013 - 16 May 2014
No
AC6138
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Nov 2013 - 16 May 2014
No
AC6138
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
08 Sep 2010 - 01 Nov 2013
No
AC6138
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
08 Sep 2010 - 01 Nov 2013
No
AC6138
CREDIT SUISSE AG
Type 1: dealing in securities
30 Sep 2008 - 25 Aug 2010
No
AC6138
CREDIT SUISSE AG
Type 4: advising on securities
30 Sep 2008 - 25 Aug 2010
No
AC6138
CITIBANK, N.A.
Type 4: advising on securities
01 Jun 2008 - 07 Aug 2008
No
AC6138
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
01 Jun 2008 - 07 Aug 2008
No
AC6138
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
01 Jun 2008 - 07 Aug 2008
No
AC6138
CITIBANK, N.A.
Type 1: dealing in securities
06 Jul 2005 - 07 Aug 2008
No
AC6138
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
08 May 2008 - 12 May 2008
No
AC6138
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
08 May 2008 - 12 May 2008
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.