Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, WAN YEE CYNTHIA
Chinese Name of Relevant Individual
林蘊怡
HKMA Registration Number
AC7108
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
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Aug 2011 - 19 Aug 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Aug 2011 - 19 Aug 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Oct 2005 - 07 Aug 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
04 Oct 2005 - 07 Aug 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, WAN YEE CYNTHIA
:
Chinese Name of Relevant Individual
林蘊怡
:
HKMA Registration Number
AC7108
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC7108
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
08 Aug 2011 - 19 Aug 2013
No
AC7108
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
08 Aug 2011 - 19 Aug 2013
No
AC7108
UBS AG
Type 1: dealing in securities
04 Oct 2005 - 07 Aug 2006
No
AC7108
UBS AG
Type 4: advising on securities
04 Oct 2005 - 07 Aug 2006
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.