Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, WAI
Chinese Name of Relevant Individual
林威
HKMA Registration Number
AF7159
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
14 Nov 2018
Is an Executive Officer? (Yes / No)
No
Capacity
HSBC PREMIER ELITE DIRECTOR
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Nov 2018
Is an Executive Officer? (Yes / No)
No
Capacity
HSBC PREMIER ELITE DIRECTOR
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 14 Nov 2018
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 14 Nov 2018
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
22 Jan 2018 - 19 Aug 2018
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
22 Jan 2018 - 19 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Oct 2016 - 28 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
13 Oct 2016 - 28 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jan 2015 - 20 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jan 2015 - 20 Aug 2016
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
03 Sep 2012 - 15 Dec 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
03 Sep 2012 - 15 Dec 2014
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
03 Sep 2012 - 15 Dec 2014
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, WAI
:
Chinese Name of Relevant Individual
林威
:
HKMA Registration Number
AF7159
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
14 Nov 2018
No
HSBC PREMIER ELITE DIRECTOR
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
14 Nov 2018
No
HSBC PREMIER ELITE DIRECTOR
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)
AF7159
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 14 Nov 2018
No
AF7159
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 14 Nov 2018
No
AF7159
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jan 2018 - 19 Aug 2018
No
AF7159
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
22 Jan 2018 - 19 Aug 2018
No
AF7159
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
13 Oct 2016 - 28 Jan 2018
No
AF7159
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
13 Oct 2016 - 28 Jan 2018
No
AF7159
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
24 Jan 2015 - 20 Aug 2016
No
AF7159
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
24 Jan 2015 - 20 Aug 2016
No
AF7159
HANG SENG BANK, LIMITED
Type 1: dealing in securities
03 Sep 2012 - 15 Dec 2014
No
AF7159
HANG SENG BANK, LIMITED
Type 4: advising on securities
03 Sep 2012 - 15 Dec 2014
No
AF7159
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
03 Sep 2012 - 15 Dec 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.