Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, WAI LAM
Chinese Name of Relevant Individual
李韋霖
HKMA Registration Number
AF9315
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
09 Jul 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
09 Jul 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
First date of engagement
09 Jul 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HANG SENG BANK, LIMITED
SFC CE number
AAH297
Business Address
HANG SENG BANK BLDG., 83 DES VOEUX 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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 09 Jul 2021
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
Since 09 Jul 2021
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
Since 09 Jul 2021
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
11 Oct 2019 - 14 May 2021
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
11 Oct 2019 - 14 May 2021
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
16 May 2016 - 17 Sep 2017
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
16 May 2016 - 17 Sep 2017
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
04 Feb 2015 - 30 Apr 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
04 Feb 2015 - 30 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Jun 2014 - 30 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Jun 2014 - 30 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Mar 2013 - 11 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Mar 2013 - 11 Mar 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
LI, WAI LAM
:
Chinese Name of Relevant Individual
李韋霖
:
HKMA Registration Number
AF9315
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HANG SENG BANK, LIMITED
Type 1: dealing in securities
09 Jul 2021
No
CUSTOMER SERVICE
HANG SENG BANK, LIMITED
Type 4: advising on securities
09 Jul 2021
No
CUSTOMER SERVICE
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
09 Jul 2021
No
CUSTOMER SERVICE
Name of Registered Institution
SFC CE number
Business Address
HANG SENG BANK, LIMITED
AAH297
HANG SENG BANK BLDG., 83 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9315
HANG SENG BANK, LIMITED
Type 1: dealing in securities
Since 09 Jul 2021
No
AF9315
HANG SENG BANK, LIMITED
Type 4: advising on securities
Since 09 Jul 2021
No
AF9315
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
Since 09 Jul 2021
No
AF9315
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
11 Oct 2019 - 14 May 2021
No
AF9315
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
11 Oct 2019 - 14 May 2021
No
AF9315
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 May 2016 - 17 Sep 2017
No
AF9315
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 May 2016 - 17 Sep 2017
No
AF9315
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
04 Feb 2015 - 30 Apr 2016
No
AF9315
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
04 Feb 2015 - 30 Apr 2016
No
AF9315
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
25 Jun 2014 - 30 Nov 2014
No
AF9315
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
25 Jun 2014 - 30 Nov 2014
No
AF9315
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
21 Mar 2013 - 11 Mar 2014
No
AF9315
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
21 Mar 2013 - 11 Mar 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.