Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAM, KA LI CINDY
Chinese Name of Relevant Individual
譚嘉莉
HKMA Registration Number
AG3559
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Nov 2025
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Nov 2025
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
SFC CE number
AAJ165
Business Address
BANK OF EAST ASIA BUILDING, 10 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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 28 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 28 Nov 2025
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
06 Apr 2024 - 26 Sep 2024
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
06 Apr 2024 - 26 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jan 2023 - 08 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jan 2023 - 08 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Dec 2021 - 10 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
18 Dec 2021 - 10 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Feb 2018 - 25 Mar 2019
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
11 Sep 2017 - 31 Jan 2018
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
11 Sep 2017 - 31 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 May 2014 - 08 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 May 2014 - 08 Sep 2017
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
TAM, KA LI CINDY
:
Chinese Name of Relevant Individual
譚嘉莉
:
HKMA Registration Number
AG3559
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
28 Nov 2025
No
DIRECTOR
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
28 Nov 2025
No
DIRECTOR
Name of Registered Institution
SFC CE number
Business Address
BANK OF EAST ASIA, LIMITED (THE)
AAJ165
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3559
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
Since 28 Nov 2025
No
AG3559
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
Since 28 Nov 2025
No
AG3559
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 Apr 2024 - 26 Sep 2024
No
AG3559
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
06 Apr 2024 - 26 Sep 2024
No
AG3559
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
09 Jan 2023 - 08 Jan 2024
No
AG3559
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
09 Jan 2023 - 08 Jan 2024
No
AG3559
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
18 Dec 2021 - 10 Aug 2022
No
AG3559
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
18 Dec 2021 - 10 Aug 2022
No
AG3559
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
16 Feb 2018 - 25 Mar 2019
No
AG3559
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Sep 2017 - 31 Jan 2018
No
AG3559
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Sep 2017 - 31 Jan 2018
No
AG3559
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
29 May 2014 - 08 Sep 2017
No
AG3559
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
29 May 2014 - 08 Sep 2017
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.