Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAM, NAI HIM, LESLIE
Chinese Name of Relevant Individual
譚乃謙
HKMA Registration Number
AF1110
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
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jul 2017 - 02 Oct 2018
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
06 May 2011 - 02 Oct 2018
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
06 May 2011 - 02 Oct 2018
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
06 May 2011 - 02 Oct 2018
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
TAM, NAI HIM, LESLIE
:
Chinese Name of Relevant Individual
譚乃謙
:
HKMA Registration Number
AF1110
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1110
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
08 Jul 2017 - 02 Oct 2018
No
AF1110
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
06 May 2011 - 02 Oct 2018
No
AF1110
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
06 May 2011 - 02 Oct 2018
No
AF1110
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
06 May 2011 - 02 Oct 2018
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.