Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, PEONY
Chinese Name of Relevant Individual
林沁叡
HKMA Registration Number
AF4710
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
First date of engagement
26 Jan 2022
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER ASSISTANT
Remarks
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
First date of engagement
26 Jan 2022
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER ASSISTANT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
SFC CE number
AGM683
Business Address
SUITE 2918, 29/F, TWO PACIFIC PLACE, 88 QUEENSWAY, 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
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 26 Jan 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
Since 26 Jan 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
29 May 2018 - 01 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
29 May 2018 - 01 Nov 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 Sep 2014 - 17 May 2018
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 Sep 2014 - 17 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Feb 2014 - 20 Feb 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Jan 2012 - 22 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
31 Jan 2012 - 22 Nov 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
LAM, PEONY
:
Chinese Name of Relevant Individual
林沁叡
:
HKMA Registration Number
AF4710
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
26 Jan 2022
No
RELATIONSHIP MANAGER ASSISTANT
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
26 Jan 2022
No
RELATIONSHIP MANAGER ASSISTANT
Name of Registered Institution
SFC CE number
Business Address
CA INDOSUEZ (SWITZERLAND) SA
AGM683
SUITE 2918, 29/F, TWO PACIFIC PLACE, 88 QUEENSWAY, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4710
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
Since 26 Jan 2022
No
AF4710
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
Since 26 Jan 2022
No
AF4710
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
29 May 2018 - 01 Nov 2021
No
AF4710
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
29 May 2018 - 01 Nov 2021
No
AF4710
CREDIT SUISSE AG
Type 1: dealing in securities
27 Sep 2014 - 17 May 2018
No
AF4710
CREDIT SUISSE AG
Type 4: advising on securities
27 Sep 2014 - 17 May 2018
No
AF4710
UBS AG
Type 1: dealing in securities
06 Feb 2014 - 20 Feb 2014
No
AF4710
BANK MORGAN STANLEY AG
Type 1: dealing in securities
31 Jan 2012 - 22 Nov 2013
No
AF4710
BANK MORGAN STANLEY AG
Type 2: dealing in futures contracts
31 Jan 2012 - 22 Nov 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.