Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAM, KWAN TAI
Chinese Name of Relevant Individual
任鈞泰
HKMA Registration Number
AG6171
Current Registration
Not Applicable
Business Address
Not Applicable
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
15 Jan 2025 - 10 Oct 2025
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
15 Jan 2025 - 10 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jun 2024 - 27 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jul 2023 - 28 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jul 2023 - 28 Jan 2024
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
23 Aug 2022 - 30 Dec 2022
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
23 Aug 2022 - 30 Dec 2022
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
15 Jun 2020 - 01 Jul 2022
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
15 Jun 2020 - 01 Jul 2022
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
15 Jun 2020 - 01 Jul 2022
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
09 Apr 2019 - 30 Apr 2020
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
09 Apr 2019 - 30 Apr 2020
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
16 Oct 2017 - 05 Jul 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
16 Oct 2017 - 05 Jul 2018
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
19 Nov 2016 - 24 Nov 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 21
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
YAM, KWAN TAI
:
Chinese Name of Relevant Individual
任鈞泰
:
HKMA Registration Number
AG6171
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6171
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
15 Jan 2025 - 10 Oct 2025
No
AG6171
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
15 Jan 2025 - 10 Oct 2025
No
AG6171
OCBC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jun 2024 - 27 Nov 2024
No
AG6171
DAH SING BANK, LIMITED
Type 1: dealing in securities
20 Jul 2023 - 28 Jan 2024
No
AG6171
DAH SING BANK, LIMITED
Type 4: advising on securities
20 Jul 2023 - 28 Jan 2024
No
AG6171
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
23 Aug 2022 - 30 Dec 2022
No
AG6171
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
23 Aug 2022 - 30 Dec 2022
No
AG6171
HANG SENG BANK, LIMITED
Type 1: dealing in securities
15 Jun 2020 - 01 Jul 2022
No
AG6171
HANG SENG BANK, LIMITED
Type 4: advising on securities
15 Jun 2020 - 01 Jul 2022
No
AG6171
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
15 Jun 2020 - 01 Jul 2022
No
AG6171
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
09 Apr 2019 - 30 Apr 2020
No
AG6171
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
09 Apr 2019 - 30 Apr 2020
No
AG6171
HANG SENG BANK, LIMITED
Type 1: dealing in securities
16 Oct 2017 - 05 Jul 2018
No
AG6171
HANG SENG BANK, LIMITED
Type 4: advising on securities
16 Oct 2017 - 05 Jul 2018
No
AG6171
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
19 Nov 2016 - 24 Nov 2016
No
AG6171
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
19 Nov 2016 - 24 Nov 2016
No
AG6171
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
19 Aug 2016 - 13 Oct 2016
No
AG6171
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
19 Aug 2016 - 13 Oct 2016
No
AG6171
HANG SENG BANK, LIMITED
Type 4: advising on securities
18 Jun 2015 - 07 Aug 2016
No
AG6171
HANG SENG BANK, LIMITED
Type 1: dealing in securities
19 Jan 2015 - 07 Aug 2016
No
AG6171
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
19 Jan 2015 - 07 Aug 2016
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.