Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, LOK YEE
Chinese Name of Relevant Individual
林樂怡
HKMA Registration Number
AF3957
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
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
16 May 2016 - 15 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 6: advising on corporate finance
Effective Period
16 May 2016 - 15 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS SECURITIES SERVICES
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Nov 2011 - 15 May 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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, LOK YEE
:
Chinese Name of Relevant Individual
林樂怡
:
HKMA Registration Number
AF3957
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3957
BNP PARIBAS
Type 1: dealing in securities
16 May 2016 - 15 Aug 2017
No
AF3957
BNP PARIBAS
Type 6: advising on corporate finance
16 May 2016 - 15 Aug 2017
No
AF3957
BNP PARIBAS SECURITIES SERVICES
Type 1: dealing in securities
26 Nov 2011 - 15 May 2016
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.