Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAM, TSZ SUN ERIC
Chinese Name of Relevant Individual
譚子新
HKMA Registration Number
AG3863
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
25 May 2021
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR VICE PRESIDENT, CAPITAL MARKET
Remarks
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
25 May 2021
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR VICE PRESIDENT, CAPITAL MARKET
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CTBC BANK CO., LTD.
SFC CE number
ABM849
Business Address
ROOM 2106-10, 21/F AND ROOM 2801, 28/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
CTBC BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 25 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 25 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Dec 2017 - 16 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Dec 2017 - 16 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
26 Jun 2014 - 27 Oct 2015
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
26 Jun 2014 - 27 Oct 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, TSZ SUN ERIC
:
Chinese Name of Relevant Individual
譚子新
:
HKMA Registration Number
AG3863
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CTBC BANK CO., LTD.
Type 1: dealing in securities
25 May 2021
No
SENIOR VICE PRESIDENT, CAPITAL MARKET
CTBC BANK CO., LTD.
Type 4: advising on securities
25 May 2021
No
SENIOR VICE PRESIDENT, CAPITAL MARKET
Name of Registered Institution
SFC CE number
Business Address
CTBC BANK CO., LTD.
ABM849
ROOM 2106-10, 21/F AND ROOM 2801, 28/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)
AG3863
CTBC BANK CO., LTD.
Type 1: dealing in securities
Since 25 May 2021
No
AG3863
CTBC BANK CO., LTD.
Type 4: advising on securities
Since 25 May 2021
No
AG3863
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
28 Dec 2017 - 16 May 2021
No
AG3863
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
28 Dec 2017 - 16 May 2021
No
AG3863
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 Jun 2014 - 27 Oct 2015
No
AG3863
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
26 Jun 2014 - 27 Oct 2015
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.