Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, YAN YI
Chinese Name of Relevant Individual
林欣宜
HKMA Registration Number
AG0657
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
12 Jul 2018
Is an Executive Officer? (Yes / No)
No
Capacity
WM P&Q SPECIALIST FRONT SUP
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, 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
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 12 Jul 2018
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
04 May 2016 - 03 Jun 2018
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
04 May 2016 - 03 Jun 2018
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
04 May 2016 - 03 Jun 2018
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
14 Aug 2013 - 05 Jun 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
14 Aug 2013 - 05 Jun 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
14 Aug 2013 - 05 Jun 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, YAN YI
:
Chinese Name of Relevant Individual
林欣宜
:
HKMA Registration Number
AG0657
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
12 Jul 2018
No
WM P&Q SPECIALIST FRONT SUP
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0657
UBS AG
Type 1: dealing in securities
Since 12 Jul 2018
No
AG0657
HANG SENG BANK, LIMITED
Type 1: dealing in securities
04 May 2016 - 03 Jun 2018
No
AG0657
HANG SENG BANK, LIMITED
Type 4: advising on securities
04 May 2016 - 03 Jun 2018
No
AG0657
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
04 May 2016 - 03 Jun 2018
No
AG0657
HANG SENG BANK, LIMITED
Type 1: dealing in securities
14 Aug 2013 - 05 Jun 2014
No
AG0657
HANG SENG BANK, LIMITED
Type 4: advising on securities
14 Aug 2013 - 05 Jun 2014
No
AG0657
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
14 Aug 2013 - 05 Jun 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.