Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, WING LAM WILLIAM
Chinese Name of Relevant Individual
黃頴霖
HKMA Registration Number
AG6232
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
20 Mar 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
20 Mar 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 20 Mar 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
Since 20 Mar 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
03 Jan 2024 - 18 Feb 2025
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
03 Jan 2024 - 18 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Aug 2023 - 20 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
02 Aug 2023 - 20 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Nov 2020 - 19 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Jan 2015 - 23 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
23 Jan 2015 - 23 Jun 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
WONG, WING LAM WILLIAM
:
Chinese Name of Relevant Individual
黃頴霖
:
HKMA Registration Number
AG6232
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
20 Mar 2025
No
RELATIONSHIP MANAGEMENT
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
20 Mar 2025
No
RELATIONSHIP MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6232
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 20 Mar 2025
No
AG6232
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 20 Mar 2025
No
AG6232
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Jan 2024 - 18 Feb 2025
No
AG6232
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Jan 2024 - 18 Feb 2025
No
AG6232
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Type 1: dealing in securities
02 Aug 2023 - 20 Sep 2023
No
AG6232
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Type 4: advising on securities
02 Aug 2023 - 20 Sep 2023
No
AG6232
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
26 Nov 2020 - 19 Feb 2023
No
AG6232
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Type 1: dealing in securities
23 Jan 2015 - 23 Jun 2020
No
AG6232
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Type 4: advising on securities
23 Jan 2015 - 23 Jun 2020
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.