Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, YAN YAN
Chinese Name of Relevant Individual
林欣欣
HKMA Registration Number
AC9439
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
23 May 2006
Is an Executive Officer? (Yes / No)
No
Capacity
FINANCIAL MARKETS
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
23 May 2006
Is an Executive Officer? (Yes / No)
No
Capacity
FINANCIAL MARKETS
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
First date of engagement
23 May 2006
Is an Executive Officer? (Yes / No)
No
Capacity
FINANCIAL MARKETS
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HANG SENG BANK, LIMITED
SFC CE number
AAH297
Business Address
HANG SENG BANK BLDG., 83 DES VOEUX ROAD 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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 03 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 03 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
Since 03 Nov 2017
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
28 Jun 2011 - 04 Aug 2017
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
28 Jun 2011 - 04 Aug 2017
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
28 Jun 2011 - 04 Aug 2017
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
28 Jun 2011 - 04 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 May 2006 - 03 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 May 2006 - 03 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
23 May 2006 - 03 Jun 2011
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
LAM, YAN YAN
:
Chinese Name of Relevant Individual
林欣欣
:
HKMA Registration Number
AC9439
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HANG SENG BANK, LIMITED
Type 1: dealing in securities
23 May 2006
No
FINANCIAL MARKETS
HANG SENG BANK, LIMITED
Type 4: advising on securities
23 May 2006
No
FINANCIAL MARKETS
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
23 May 2006
No
FINANCIAL MARKETS
Name of Registered Institution
SFC CE number
Business Address
HANG SENG BANK, LIMITED
AAH297
HANG SENG BANK BLDG., 83 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9439
HANG SENG BANK, LIMITED
Type 1: dealing in securities
Since 03 Nov 2017
No
AC9439
HANG SENG BANK, LIMITED
Type 4: advising on securities
Since 03 Nov 2017
No
AC9439
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
Since 03 Nov 2017
No
AC9439
CITIBANK, N.A.
Type 1: dealing in securities
28 Jun 2011 - 04 Aug 2017
No
AC9439
CITIBANK, N.A.
Type 4: advising on securities
28 Jun 2011 - 04 Aug 2017
No
AC9439
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
28 Jun 2011 - 04 Aug 2017
No
AC9439
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
28 Jun 2011 - 04 Aug 2017
No
AC9439
HANG SENG BANK, LIMITED
Type 1: dealing in securities
23 May 2006 - 03 Jun 2011
No
AC9439
HANG SENG BANK, LIMITED
Type 4: advising on securities
23 May 2006 - 03 Jun 2011
No
AC9439
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
23 May 2006 - 03 Jun 2011
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.