Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
POON, YIN LAM TOBY
Chinese Name of Relevant Individual
潘彦霖
HKMA Registration Number
AF1601
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
CHINA ZHESHANG BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Feb 2024 - 31 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA ZHESHANG BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
06 Feb 2024 - 31 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Nov 2022 - 30 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
19 Nov 2022 - 30 Nov 2023
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
28 Sep 2020 - 29 Aug 2022
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
28 Sep 2020 - 29 Aug 2022
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
28 Sep 2020 - 29 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jan 2017 - 05 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
21 Jan 2017 - 05 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
Effective Period
21 Jan 2017 - 05 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Jun 2016 - 22 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Jun 2016 - 22 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jun 2011 - 29 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
POON, YIN LAM TOBY
:
Chinese Name of Relevant Individual
潘彦霖
:
HKMA Registration Number
AF1601
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1601
CHINA ZHESHANG BANK CO., LTD.
Type 1: dealing in securities
06 Feb 2024 - 31 Aug 2024
No
AF1601
CHINA ZHESHANG BANK CO., LTD.
Type 4: advising on securities
06 Feb 2024 - 31 Aug 2024
No
AF1601
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
19 Nov 2022 - 30 Nov 2023
No
AF1601
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
19 Nov 2022 - 30 Nov 2023
No
AF1601
HANG SENG BANK, LIMITED
Type 1: dealing in securities
28 Sep 2020 - 29 Aug 2022
No
AF1601
HANG SENG BANK, LIMITED
Type 4: advising on securities
28 Sep 2020 - 29 Aug 2022
No
AF1601
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
28 Sep 2020 - 29 Aug 2022
No
AF1601
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
21 Jan 2017 - 05 Jan 2020
No
AF1601
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
21 Jan 2017 - 05 Jan 2020
No
AF1601
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
21 Jan 2017 - 05 Jan 2020
No
AF1601
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
23 Jun 2016 - 22 Aug 2016
No
AF1601
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
23 Jun 2016 - 22 Aug 2016
No
AF1601
EFG BANK AG
Type 1: dealing in securities
14 Jun 2011 - 29 Mar 2015
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.