Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, LIK FUNG
Chinese Name of Relevant Individual
林力鋒
HKMA Registration Number
AF4146
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
22 Jun 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE OFFICER
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
22 Jun 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE OFFICER
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 22 Jun 2021
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 22 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Feb 2020 - 31 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Feb 2020 - 31 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Dec 2018 - 03 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Dec 2018 - 03 Oct 2019
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
24 Apr 2018 - 19 Aug 2018
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
24 Apr 2018 - 19 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Aug 2016 - 26 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
24 Aug 2016 - 26 Mar 2018
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
21 Aug 2014 - 10 Jun 2016
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
21 Aug 2014 - 10 Jun 2016
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
15 Dec 2011 - 17 Aug 2014
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
15 Dec 2011 - 17 Aug 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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, LIK FUNG
:
Chinese Name of Relevant Individual
林力鋒
:
HKMA Registration Number
AF4146
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
22 Jun 2021
No
CUSTOMER SERVICE OFFICER
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
22 Jun 2021
No
CUSTOMER SERVICE OFFICER
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)
AF4146
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 22 Jun 2021
No
AF4146
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 22 Jun 2021
No
AF4146
DAH SING BANK, LIMITED
Type 1: dealing in securities
04 Feb 2020 - 31 Jul 2020
No
AF4146
DAH SING BANK, LIMITED
Type 4: advising on securities
04 Feb 2020 - 31 Jul 2020
No
AF4146
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
07 Dec 2018 - 03 Oct 2019
No
AF4146
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
07 Dec 2018 - 03 Oct 2019
No
AF4146
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
24 Apr 2018 - 19 Aug 2018
No
AF4146
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
24 Apr 2018 - 19 Aug 2018
No
AF4146
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
24 Aug 2016 - 26 Mar 2018
No
AF4146
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
24 Aug 2016 - 26 Mar 2018
No
AF4146
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
21 Aug 2014 - 10 Jun 2016
No
AF4146
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
21 Aug 2014 - 10 Jun 2016
No
AF4146
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
15 Dec 2011 - 17 Aug 2014
No
AF4146
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
15 Dec 2011 - 17 Aug 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.