Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, WAN YIN
Chinese Name of Relevant Individual
林宛燕
HKMA Registration Number
AF2271
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
01 Jun 2019
Is an Executive Officer? (Yes / No)
No
Capacity
TREASURY SERVICES
Remarks
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
01 Jun 2019
Is an Executive Officer? (Yes / No)
No
Capacity
TREASURY SERVICES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
SFC CE number
AAJ281
Business Address
SHANGHAI COMMERCIAL BANK TOWER, 12 QUEEN'S 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
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 01 Jun 2019
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
Since 01 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Nov 2018 - 03 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Nov 2018 - 03 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NIPPON WEALTH LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Nov 2015 - 06 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NIPPON WEALTH LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Nov 2015 - 06 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Aug 2011 - 23 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Aug 2011 - 23 Nov 2014
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
LAM, WAN YIN
:
Chinese Name of Relevant Individual
林宛燕
:
HKMA Registration Number
AF2271
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
01 Jun 2019
No
TREASURY SERVICES
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
01 Jun 2019
No
TREASURY SERVICES
Name of Registered Institution
SFC CE number
Business Address
SHANGHAI COMMERCIAL BANK LIMITED
AAJ281
SHANGHAI COMMERCIAL BANK TOWER, 12 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2271
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
Since 01 Jun 2019
No
AF2271
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
Since 01 Jun 2019
No
AF2271
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
03 Nov 2018 - 03 Apr 2019
No
AF2271
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
03 Nov 2018 - 03 Apr 2019
No
AF2271
NIPPON WEALTH LIMITED
Type 1: dealing in securities
27 Nov 2015 - 06 May 2018
No
AF2271
NIPPON WEALTH LIMITED
Type 4: advising on securities
27 Nov 2015 - 06 May 2018
No
AF2271
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Aug 2011 - 23 Nov 2014
No
AF2271
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Aug 2011 - 23 Nov 2014
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.