Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LUM, MEI
Chinese Name of Relevant Individual
林薇
HKMA Registration Number
AF3196
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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Dec 2021 - 28 Jun 2024
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
08 Dec 2021 - 28 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 May 2021 - 23 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jul 2018 - 24 Dec 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
27 Jul 2018 - 24 Dec 2019
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
24 Aug 2015 - 21 Jun 2018
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
24 Aug 2015 - 21 Jun 2018
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
16 Jan 2014 - 10 May 2015
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
16 Jan 2014 - 10 May 2015
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
16 Jan 2014 - 10 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Oct 2011 - 01 Dec 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Oct 2011 - 01 Dec 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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, MEI
:
Chinese Name of Relevant Individual
林薇
:
HKMA Registration Number
AF3196
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3196
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Dec 2021 - 28 Jun 2024
No
AF3196
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Dec 2021 - 28 Jun 2024
No
AF3196
UBS AG
Type 1: dealing in securities
12 May 2021 - 23 Aug 2021
No
AF3196
CREDIT SUISSE AG
Type 1: dealing in securities
27 Jul 2018 - 24 Dec 2019
No
AF3196
CREDIT SUISSE AG
Type 4: advising on securities
27 Jul 2018 - 24 Dec 2019
No
AF3196
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
24 Aug 2015 - 21 Jun 2018
No
AF3196
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
24 Aug 2015 - 21 Jun 2018
No
AF3196
HANG SENG BANK, LIMITED
Type 1: dealing in securities
16 Jan 2014 - 10 May 2015
No
AF3196
HANG SENG BANK, LIMITED
Type 4: advising on securities
16 Jan 2014 - 10 May 2015
No
AF3196
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
16 Jan 2014 - 10 May 2015
No
AF3196
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
03 Oct 2011 - 01 Dec 2013
No
AF3196
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
03 Oct 2011 - 01 Dec 2013
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.