Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LUM JR, JACKSON
Chinese Name of Relevant Individual
HKMA Registration Number
AD0056
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 AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Nov 2006 - 30 Mar 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
28 Nov 2006 - 30 Mar 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
28 Nov 2006 - 30 Mar 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
27 Nov 2006 - 30 Mar 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jul 2006 - 30 Mar 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jul 2006 - 30 Mar 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jul 2006 - 09 Aug 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jul 2006 - 09 Aug 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
LUM JR, JACKSON
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AD0056
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AD0056
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
28 Nov 2006 - 30 Mar 2008
No
AD0056
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
28 Nov 2006 - 30 Mar 2008
No
AD0056
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
28 Nov 2006 - 30 Mar 2008
No
AD0056
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 6: advising on corporate finance
27 Nov 2006 - 30 Mar 2008
No
AD0056
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
10 Jul 2006 - 30 Mar 2008
No
AD0056
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 4: advising on securities
10 Jul 2006 - 30 Mar 2008
No
AD0056
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
10 Jul 2006 - 09 Aug 2006
No
AD0056
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
10 Jul 2006 - 09 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.