Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAM, KING MAN
Chinese Name of Relevant Individual
譚景文
HKMA Registration Number
AF2754
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
07 Mar 2025
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH MANAGER (WEALTH MANAGEMENT)
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
07 Mar 2025
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH MANAGER (WEALTH MANAGEMENT)
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 07 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 07 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Apr 2022 - 01 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Apr 2022 - 01 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
29 May 2019 - 18 Feb 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
29 May 2019 - 18 Feb 2022
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
09 Nov 2017 - 24 Mar 2019
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
09 Nov 2017 - 24 Mar 2019
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
09 Nov 2017 - 24 Mar 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Nov 2016 - 17 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Nov 2016 - 17 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Aug 2014 - 30 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Aug 2014 - 30 Oct 2016
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
07 Apr 2014 - 28 Jun 2014
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
07 Apr 2014 - 28 Jun 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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, KING MAN
:
Chinese Name of Relevant Individual
譚景文
:
HKMA Registration Number
AF2754
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
07 Mar 2025
No
ASSISTANT BRANCH MANAGER (WEALTH MANAGEMENT)
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
07 Mar 2025
No
ASSISTANT BRANCH MANAGER (WEALTH MANAGEMENT)
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2754
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 07 Mar 2025
No
AF2754
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 07 Mar 2025
No
AF2754
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
06 Apr 2022 - 01 Feb 2025
No
AF2754
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
06 Apr 2022 - 01 Feb 2025
No
AF2754
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
29 May 2019 - 18 Feb 2022
No
AF2754
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
29 May 2019 - 18 Feb 2022
No
AF2754
HANG SENG BANK, LIMITED
Type 1: dealing in securities
09 Nov 2017 - 24 Mar 2019
No
AF2754
HANG SENG BANK, LIMITED
Type 4: advising on securities
09 Nov 2017 - 24 Mar 2019
No
AF2754
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
09 Nov 2017 - 24 Mar 2019
No
AF2754
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Nov 2016 - 17 Sep 2017
No
AF2754
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Nov 2016 - 17 Sep 2017
No
AF2754
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Aug 2014 - 30 Oct 2016
No
AF2754
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Aug 2014 - 30 Oct 2016
No
AF2754
HANG SENG BANK, LIMITED
Type 1: dealing in securities
07 Apr 2014 - 28 Jun 2014
No
AF2754
HANG SENG BANK, LIMITED
Type 4: advising on securities
07 Apr 2014 - 28 Jun 2014
No
AF2754
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
07 Apr 2014 - 28 Jun 2014
No
AF2754
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
02 Sep 2011 - 09 Feb 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.