Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAI, SIU YIN
Chinese Name of Relevant Individual
賴小燕
HKMA Registration Number
AC6187
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
13 Mar 2024
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT VICE PRESIDENT
Remarks
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
13 Mar 2024
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT VICE PRESIDENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF SINGAPORE LIMITED
SFC CE number
ALB135
Business Address
34/F & 35/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, 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
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 13 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 13 Mar 2024
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
21 May 2013 - 22 Dec 2023
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
21 May 2013 - 22 Dec 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jun 2011 - 04 Nov 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jun 2011 - 04 Nov 2011
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 Sep 2007 - 21 May 2010
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 Sep 2007 - 21 May 2010
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
08 Jul 2005 - 18 Sep 2007
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
08 Jul 2005 - 18 Sep 2007
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
LAI, SIU YIN
:
Chinese Name of Relevant Individual
賴小燕
:
HKMA Registration Number
AC6187
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
13 Mar 2024
No
ASSISTANT VICE PRESIDENT
BANK OF SINGAPORE LIMITED
Type 4: advising on securities
13 Mar 2024
No
ASSISTANT VICE PRESIDENT
Name of Registered Institution
SFC CE number
Business Address
BANK OF SINGAPORE LIMITED
ALB135
34/F & 35/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6187
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
Since 13 Mar 2024
No
AC6187
BANK OF SINGAPORE LIMITED
Type 4: advising on securities
Since 13 Mar 2024
No
AC6187
CREDIT SUISSE AG
Type 1: dealing in securities
21 May 2013 - 22 Dec 2023
No
AC6187
CREDIT SUISSE AG
Type 4: advising on securities
21 May 2013 - 22 Dec 2023
No
AC6187
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
18 Jun 2011 - 04 Nov 2011
No
AC6187
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
18 Jun 2011 - 04 Nov 2011
No
AC6187
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
03 Sep 2007 - 21 May 2010
No
AC6187
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
03 Sep 2007 - 21 May 2010
No
AC6187
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
08 Jul 2005 - 18 Sep 2007
No
AC6187
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
08 Jul 2005 - 18 Sep 2007
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.