Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HOR, HON LAM
Chinese Name of Relevant Individual
賀漢霖
HKMA Registration Number
AC6713
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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Dec 2010 - 06 May 2014
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
11 Dec 2010 - 06 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Oct 2009 - 07 Nov 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Aug 2008 - 01 Oct 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Aug 2008 - 01 Oct 2009
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
02 Jan 2008 - 30 May 2008
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
02 Jan 2008 - 30 May 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jun 2007 - 30 Dec 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jun 2007 - 30 Dec 2007
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
26 Aug 2005 - 31 May 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
26 Aug 2005 - 31 May 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
HOR, HON LAM
:
Chinese Name of Relevant Individual
賀漢霖
:
HKMA Registration Number
AC6713
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6713
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
11 Dec 2010 - 06 May 2014
No
AC6713
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
11 Dec 2010 - 06 May 2014
No
AC6713
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
30 Oct 2009 - 07 Nov 2010
No
AC6713
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Aug 2008 - 01 Oct 2009
No
AC6713
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Aug 2008 - 01 Oct 2009
No
AC6713
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
02 Jan 2008 - 30 May 2008
No
AC6713
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
02 Jan 2008 - 30 May 2008
No
AC6713
BARCLAYS BANK PLC
Type 1: dealing in securities
05 Jun 2007 - 30 Dec 2007
No
AC6713
BARCLAYS BANK PLC
Type 4: advising on securities
05 Jun 2007 - 30 Dec 2007
No
AC6713
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
26 Aug 2005 - 31 May 2007
No
AC6713
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
26 Aug 2005 - 31 May 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.