Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, NICHOLAS WEI GUO
Chinese Name of Relevant Individual
林偉國
HKMA Registration Number
AG6596
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
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jul 2021 - 24 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jul 2021 - 24 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jul 2021 - 24 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jul 2021 - 24 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Feb 2015 - 18 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
24 Feb 2015 - 18 Jun 2021
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
LAM, NICHOLAS WEI GUO
:
Chinese Name of Relevant Individual
林偉國
:
HKMA Registration Number
AG6596
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6596
CITIBANK, N.A.
Type 1: dealing in securities
09 Jul 2021 - 24 Oct 2025
No
AG6596
CITIBANK, N.A.
Type 4: advising on securities
09 Jul 2021 - 24 Oct 2025
No
AG6596
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
09 Jul 2021 - 24 Oct 2025
No
AG6596
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
09 Jul 2021 - 24 Oct 2025
No
AG6596
UBS AG
Type 1: dealing in securities
24 Feb 2015 - 18 Jun 2021
No
AG6596
UBS AG
Type 4: advising on securities
24 Feb 2015 - 18 Jun 2021
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.