Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, HOI YI
Chinese Name of Relevant Individual
林凯兒
HKMA Registration Number
AF4713
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
01 May 2017
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
01 May 2017
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
01 May 2017
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
01 May 2017
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
LGT BANK AG
SFC CE number
AWF529
Business Address
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, 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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 01 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
Since 01 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 01 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
Since 01 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Nov 2014 - 30 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
19 Nov 2014 - 30 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Feb 2014 - 10 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Aug 2013 - 01 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
22 Aug 2013 - 01 Nov 2013
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 - 30 Nov 2012
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 - 30 Nov 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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, HOI YI
:
Chinese Name of Relevant Individual
林凯兒
:
HKMA Registration Number
AF4713
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
01 May 2017
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 2: dealing in futures contracts
01 May 2017
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 4: advising on securities
01 May 2017
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 5: advising on futures contracts
01 May 2017
No
STAFF OF WEALTH MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
LGT BANK AG
AWF529
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4713
LGT BANK AG
Type 1: dealing in securities
Since 01 May 2017
No
AF4713
LGT BANK AG
Type 2: dealing in futures contracts
Since 01 May 2017
No
AF4713
LGT BANK AG
Type 4: advising on securities
Since 01 May 2017
No
AF4713
LGT BANK AG
Type 5: advising on futures contracts
Since 01 May 2017
No
AF4713
ABN AMRO BANK N.V.
Type 1: dealing in securities
19 Nov 2014 - 30 Apr 2017
No
AF4713
ABN AMRO BANK N.V.
Type 4: advising on securities
19 Nov 2014 - 30 Apr 2017
No
AF4713
ABN AMRO BANK N.V.
Type 1: dealing in securities
20 Feb 2014 - 10 Aug 2014
No
AF4713
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
22 Aug 2013 - 01 Nov 2013
No
AF4713
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
22 Aug 2013 - 01 Nov 2013
No
AF4713
BANK MORGAN STANLEY AG
Type 1: dealing in securities
31 Jan 2012 - 30 Nov 2012
No
AF4713
BANK MORGAN STANLEY AG
Type 2: dealing in futures contracts
31 Jan 2012 - 30 Nov 2012
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.