Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, HOI WAN SHIRLEY
Chinese Name of Relevant Individual
林海雲
HKMA Registration Number
AC6202
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
First date of engagement
17 Oct 2019
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT RELATIONSHIP ASSOCIATE
Remarks
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
First date of engagement
17 Oct 2019
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT RELATIONSHIP ASSOCIATE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
SFC CE number
ABZ544
Business Address
26/F, AIA CENTRAL, 1 CONNAUGHT ROAD CENTRAL, 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
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 17 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
Since 17 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2017 - 11 Oct 2019
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
01 May 2017 - 11 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
14 Oct 2014 - 30 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2010 - 30 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 9: asset management
Effective Period
01 Apr 2010 - 15 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jul 2005 - 31 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 9: asset management
Effective Period
08 Jul 2005 - 31 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Mar 2010 - 29 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 9: asset management
Effective Period
24 Mar 2010 - 29 Mar 2010
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, HOI WAN SHIRLEY
:
Chinese Name of Relevant Individual
林海雲
:
HKMA Registration Number
AC6202
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
17 Oct 2019
No
CLIENT RELATIONSHIP ASSOCIATE
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
17 Oct 2019
No
CLIENT RELATIONSHIP ASSOCIATE
Name of Registered Institution
SFC CE number
Business Address
UNION BANCAIRE PRIVÉE, UBP SA
ABZ544
26/F, AIA CENTRAL, 1 CONNAUGHT ROAD CENTRAL, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6202
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
Since 17 Oct 2019
No
AC6202
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
Since 17 Oct 2019
No
AC6202
LGT BANK AG
Type 1: dealing in securities
01 May 2017 - 11 Oct 2019
No
AC6202
LGT BANK AG
Type 4: advising on securities
01 May 2017 - 11 Oct 2019
No
AC6202
ABN AMRO BANK N.V.
Type 4: advising on securities
14 Oct 2014 - 30 Apr 2017
No
AC6202
ABN AMRO BANK N.V.
Type 1: dealing in securities
01 Apr 2010 - 30 Apr 2017
No
AC6202
ABN AMRO BANK N.V.
Type 9: asset management
01 Apr 2010 - 15 May 2014
No
AC6202
ABN AMRO BANK N.V.
Type 4: advising on securities
01 Apr 2010
No
AC6202
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
08 Jul 2005 - 31 Mar 2010
No
AC6202
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 9: asset management
08 Jul 2005 - 31 Mar 2010
No
AC6202
ABN AMRO BANK N.V.
Type 1: dealing in securities
24 Mar 2010 - 29 Mar 2010
No
AC6202
ABN AMRO BANK N.V.
Type 9: asset management
24 Mar 2010 - 29 Mar 2010
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.