Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAM, TSZ CHUNG
Chinese Name of Relevant Individual
譚子聰
HKMA Registration Number
AF4314
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
24 Feb 2023
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
24 Feb 2023
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 24 Feb 2023
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 24 Feb 2023
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
13 Jun 2014 - 18 Dec 2022
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
13 Jun 2014 - 18 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Feb 2013 - 25 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
16 Feb 2013 - 25 Mar 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
26 Mar 2012 - 02 Jan 2013
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
06 Jan 2012 - 02 Jan 2013
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
06 Jan 2012 - 02 Jan 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, TSZ CHUNG
:
Chinese Name of Relevant Individual
譚子聰
:
HKMA Registration Number
AF4314
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
24 Feb 2023
No
ASSISTANT BRANCH MANAGER (WEALTH MANAGEMENT)
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
24 Feb 2023
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)
AF4314
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 24 Feb 2023
No
AF4314
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 24 Feb 2023
No
AF4314
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
13 Jun 2014 - 18 Dec 2022
No
AF4314
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
13 Jun 2014 - 18 Dec 2022
No
AF4314
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
16 Feb 2013 - 25 Mar 2014
No
AF4314
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
16 Feb 2013 - 25 Mar 2014
No
AF4314
HANG SENG BANK, LIMITED
Type 4: advising on securities
26 Mar 2012 - 02 Jan 2013
No
AF4314
HANG SENG BANK, LIMITED
Type 1: dealing in securities
06 Jan 2012 - 02 Jan 2013
No
AF4314
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
06 Jan 2012 - 02 Jan 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.