Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YIP, WAI LAM
Chinese Name of Relevant Individual
葉偉霖
HKMA Registration Number
AG8477
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
10 Nov 2022
Is an Executive Officer? (Yes / No)
No
Capacity
INSURANCE SPECIALIST
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
10 Nov 2022
Is an Executive Officer? (Yes / No)
No
Capacity
INSURANCE SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 10 Nov 2022
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
Since 10 Nov 2022
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
15 Aug 2019 - 14 Oct 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
15 Aug 2019 - 14 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Mar 2019 - 11 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
06 Mar 2019 - 11 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Aug 2015 - 26 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Aug 2015 - 26 Jul 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
YIP, WAI LAM
:
Chinese Name of Relevant Individual
葉偉霖
:
HKMA Registration Number
AG8477
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
10 Nov 2022
No
INSURANCE SPECIALIST
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
10 Nov 2022
No
INSURANCE SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8477
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 10 Nov 2022
No
AG8477
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 10 Nov 2022
No
AG8477
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
15 Aug 2019 - 14 Oct 2022
No
AG8477
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
15 Aug 2019 - 14 Oct 2022
No
AG8477
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
06 Mar 2019 - 11 Jun 2019
No
AG8477
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
06 Mar 2019 - 11 Jun 2019
No
AG8477
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
08 Aug 2015 - 26 Jul 2018
No
AG8477
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
08 Aug 2015 - 26 Jul 2018
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.