Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAM, SHING YAN
Chinese Name of Relevant Individual
譚丞恩
HKMA Registration Number
AH3743
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
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jul 2023 - 07 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jul 2023 - 07 Oct 2024
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
14 May 2021 - 30 Jun 2023
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
14 May 2021 - 30 Jun 2023
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
26 Apr 2019 - 09 Mar 2021
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
26 Apr 2019 - 09 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jul 2018 - 08 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Jul 2018 - 08 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
16 Jul 2018 - 08 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Feb 2018 - 03 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Feb 2018 - 03 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jul 2017 - 26 Jan 2018
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
27 Jul 2017 - 26 Jan 2018
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
27 Jan 2017 - 28 Apr 2017
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
27 Jan 2017 - 28 Apr 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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, SHING YAN
:
Chinese Name of Relevant Individual
譚丞恩
:
HKMA Registration Number
AH3743
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3743
DAH SING BANK, LIMITED
Type 1: dealing in securities
08 Jul 2023 - 07 Oct 2024
No
AH3743
DAH SING BANK, LIMITED
Type 4: advising on securities
08 Jul 2023 - 07 Oct 2024
No
AH3743
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
14 May 2021 - 30 Jun 2023
No
AH3743
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
14 May 2021 - 30 Jun 2023
No
AH3743
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
26 Apr 2019 - 09 Mar 2021
No
AH3743
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
26 Apr 2019 - 09 Mar 2021
No
AH3743
HANG SENG BANK, LIMITED
Type 1: dealing in securities
16 Jul 2018 - 08 Apr 2019
No
AH3743
HANG SENG BANK, LIMITED
Type 4: advising on securities
16 Jul 2018 - 08 Apr 2019
No
AH3743
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
16 Jul 2018 - 08 Apr 2019
No
AH3743
DAH SING BANK, LIMITED
Type 1: dealing in securities
02 Feb 2018 - 03 Jun 2018
No
AH3743
DAH SING BANK, LIMITED
Type 4: advising on securities
02 Feb 2018 - 03 Jun 2018
No
AH3743
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
27 Jul 2017 - 26 Jan 2018
No
AH3743
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
27 Jul 2017 - 26 Jan 2018
No
AH3743
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
27 Jan 2017 - 28 Apr 2017
No
AH3743
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
27 Jan 2017 - 28 Apr 2017
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.