Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAM, WAI YAN DIANA
Chinese Name of Relevant Individual
譚偉恩
HKMA Registration Number
AG8122
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
22 Feb 2022 - 19 Aug 2022
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
22 Feb 2022 - 19 Aug 2022
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
22 Feb 2022 - 19 Aug 2022
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
22 Feb 2022 - 19 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jul 2015 - 31 Dec 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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, WAI YAN DIANA
:
Chinese Name of Relevant Individual
譚偉恩
:
HKMA Registration Number
AG8122
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8122
CITIBANK, N.A.
Type 1: dealing in securities
22 Feb 2022 - 19 Aug 2022
No
AG8122
CITIBANK, N.A.
Type 4: advising on securities
22 Feb 2022 - 19 Aug 2022
No
AG8122
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
22 Feb 2022 - 19 Aug 2022
No
AG8122
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
22 Feb 2022 - 19 Aug 2022
No
AG8122
UBS AG
Type 1: dealing in securities
09 Jul 2015 - 31 Dec 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.