Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIM, THIAM POH
Chinese Name of Relevant Individual
HKMA Registration Number
AG8857
Other HKMA Registration Number(s)
AG1412, AG9335
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
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jan 2025 - 13 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jan 2025 - 13 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Nov 2024 - 22 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
19 Nov 2024 - 22 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Oct 2024 - 18 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
14 Oct 2024 - 18 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2024 - 20 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
16 Sep 2024 - 20 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jul 2024 - 31 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
29 Jul 2024 - 31 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
21 May 2024 - 24 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
21 May 2024 - 24 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Mar 2024 - 13 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
10 Mar 2024 - 13 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Jan 2024 - 02 Feb 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 60
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
LIM, THIAM POH
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG8857
:
Other HKMA Registration Number(s)
AG1412, AG9335
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9335
ROYAL BANK OF CANADA
Type 1: dealing in securities
08 Jan 2025 - 13 Jan 2025
No
AG9335
ROYAL BANK OF CANADA
Type 4: advising on securities
08 Jan 2025 - 13 Jan 2025
No
AG9335
ROYAL BANK OF CANADA
Type 1: dealing in securities
19 Nov 2024 - 22 Nov 2024
No
AG9335
ROYAL BANK OF CANADA
Type 4: advising on securities
19 Nov 2024 - 22 Nov 2024
No
AG9335
ROYAL BANK OF CANADA
Type 1: dealing in securities
14 Oct 2024 - 18 Oct 2024
No
AG9335
ROYAL BANK OF CANADA
Type 4: advising on securities
14 Oct 2024 - 18 Oct 2024
No
AG9335
ROYAL BANK OF CANADA
Type 1: dealing in securities
16 Sep 2024 - 20 Sep 2024
No
AG9335
ROYAL BANK OF CANADA
Type 4: advising on securities
16 Sep 2024 - 20 Sep 2024
No
AG9335
ROYAL BANK OF CANADA
Type 1: dealing in securities
29 Jul 2024 - 31 Jul 2024
No
AG9335
ROYAL BANK OF CANADA
Type 4: advising on securities
29 Jul 2024 - 31 Jul 2024
No
AG9335
ROYAL BANK OF CANADA
Type 1: dealing in securities
21 May 2024 - 24 May 2024
No
AG9335
ROYAL BANK OF CANADA
Type 4: advising on securities
21 May 2024 - 24 May 2024
No
AG9335
ROYAL BANK OF CANADA
Type 1: dealing in securities
10 Mar 2024 - 13 Mar 2024
No
AG9335
ROYAL BANK OF CANADA
Type 4: advising on securities
10 Mar 2024 - 13 Mar 2024
No
AG9335
ROYAL BANK OF CANADA
Type 1: dealing in securities
31 Jan 2024 - 02 Feb 2024
No
AG9335
ROYAL BANK OF CANADA
Type 4: advising on securities
31 Jan 2024 - 02 Feb 2024
No
AG9335
ROYAL BANK OF CANADA
Type 1: dealing in securities
05 Nov 2023 - 09 Nov 2023
No
AG9335
ROYAL BANK OF CANADA
Type 4: advising on securities
05 Nov 2023 - 09 Nov 2023
No
AG9335
ROYAL BANK OF CANADA
Type 1: dealing in securities
18 Jul 2023 - 20 Jul 2023
No
AG9335
ROYAL BANK OF CANADA
Type 4: advising on securities
18 Jul 2023 - 20 Jul 2023
No
AG9335
ROYAL BANK OF CANADA
Type 1: dealing in securities
08 May 2023 - 10 May 2023
No
AG9335
ROYAL BANK OF CANADA
Type 4: advising on securities
08 May 2023 - 10 May 2023
No
AG9335
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
14 Jan 2020 - 19 Jan 2020
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
04 Sep 2019 - 07 Sep 2019
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
18 Jun 2019 - 20 Jun 2019
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
25 Apr 2019 - 28 Apr 2019
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
21 Mar 2019 - 29 Mar 2019
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
22 Feb 2019 - 26 Feb 2019
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
14 Jan 2019 - 20 Jan 2019
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
12 Dec 2018
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
07 Nov 2018 - 11 Nov 2018
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
21 Aug 2018 - 24 Aug 2018
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
25 Jul 2018 - 28 Jul 2018
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
10 Jul 2018 - 15 Jul 2018
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
04 Jun 2018 - 10 Jun 2018
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
05 Mar 2018 - 10 Mar 2018
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
15 Jan 2018 - 21 Jan 2018
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
14 Dec 2017 - 18 Dec 2017
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
10 Nov 2017 - 15 Nov 2017
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
17 Oct 2017 - 21 Oct 2017
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
11 Sep 2017 - 18 Sep 2017
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
16 Jun 2017 - 20 Jun 2017
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
16 May 2017 - 19 May 2017
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
25 Apr 2017 - 02 May 2017
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
15 Mar 2017 - 27 Mar 2017
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
13 Jan 2017 - 23 Jan 2017
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
26 Nov 2016 - 02 Dec 2016
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
13 Oct 2016 - 17 Oct 2016
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
16 Jun 2016 - 19 Jun 2016
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
10 Mar 2016 - 18 Mar 2016
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
17 Jan 2016 - 24 Jan 2016
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
11 Dec 2015 - 17 Dec 2015
No
AG9335
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
13 Oct 2015 - 05 Nov 2015
No
AG8857
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
06 Sep 2015 - 11 Sep 2015
No
AG1412
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
29 Mar 2014 - 05 Apr 2014
No
AG1412
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
29 Mar 2014 - 05 Apr 2014
No
AG1412
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
29 Mar 2014 - 05 Apr 2014
No
AG1412
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
23 Oct 2013 - 25 Oct 2013
No
AG1412
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
23 Oct 2013 - 25 Oct 2013
No
AG1412
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
23 Oct 2013 - 25 Oct 2013
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.