Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, CHONG YAN
Chinese Name of Relevant Individual
林壯欣
HKMA Registration Number
AH2756
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
23 May 2023
Is an Executive Officer? (Yes / No)
No
Capacity
COMMERCIAL BANKING
Remarks
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
23 May 2023
Is an Executive Officer? (Yes / No)
No
Capacity
COMMERCIAL BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
SFC CE number
AAC155
Business Address
28/F, CCB TOWER, NO. 3 CONNAUGHT ROAD CENTRAL, 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
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 23 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 23 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Aug 2020 - 26 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 Aug 2020 - 26 Jul 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
12 Jan 2019 - 26 Jul 2022
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
12 Jan 2019 - 26 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Sep 2016 - 05 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Sep 2016 - 05 Oct 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
LAM, CHONG YAN
:
Chinese Name of Relevant Individual
林壯欣
:
HKMA Registration Number
AH2756
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
23 May 2023
No
COMMERCIAL BANKING
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
23 May 2023
No
COMMERCIAL BANKING
Name of Registered Institution
SFC CE number
Business Address
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
AAC155
28/F, CCB TOWER, NO. 3 CONNAUGHT ROAD CENTRAL, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH2756
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
Since 23 May 2023
No
AH2756
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
Since 23 May 2023
No
AH2756
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
12 Aug 2020 - 26 Jul 2022
No
AH2756
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
12 Aug 2020 - 26 Jul 2022
No
AH2756
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
12 Jan 2019 - 26 Jul 2022
No
AH2756
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
12 Jan 2019 - 26 Jul 2022
No
AH2756
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
23 Sep 2016 - 05 Oct 2018
No
AH2756
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
23 Sep 2016 - 05 Oct 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.