Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KAM, LOK HIN ROMANUS
Chinese Name of Relevant Individual
甘諾軒
HKMA Registration Number
AH5958
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
26 May 2021 - 03 Dec 2021
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
26 May 2021 - 03 Dec 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
19 Feb 2020 - 21 Mar 2021
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
19 Feb 2020 - 21 Mar 2021
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
19 Feb 2020 - 21 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Oct 2017 - 31 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Oct 2017 - 31 Aug 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
KAM, LOK HIN ROMANUS
:
Chinese Name of Relevant Individual
甘諾軒
:
HKMA Registration Number
AH5958
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH5958
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
26 May 2021 - 03 Dec 2021
No
AH5958
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
26 May 2021 - 03 Dec 2021
No
AH5958
HANG SENG BANK, LIMITED
Type 1: dealing in securities
19 Feb 2020 - 21 Mar 2021
No
AH5958
HANG SENG BANK, LIMITED
Type 4: advising on securities
19 Feb 2020 - 21 Mar 2021
No
AH5958
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
19 Feb 2020 - 21 Mar 2021
No
AH5958
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
02 Oct 2017 - 31 Aug 2018
No
AH5958
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
02 Oct 2017 - 31 Aug 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.