Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSE, JEROME WING LAM
Chinese Name of Relevant Individual
謝詠霖
HKMA Registration Number
AH7456
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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jan 2025 - 24 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jan 2025 - 24 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Apr 2023 - 13 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Apr 2023 - 13 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Dec 2019 - 17 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Dec 2019 - 17 Feb 2023
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
23 Mar 2018 - 14 Mar 2019
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
23 Mar 2018 - 14 Mar 2019
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
TSE, JEROME WING LAM
:
Chinese Name of Relevant Individual
謝詠霖
:
HKMA Registration Number
AH7456
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH7456
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
11 Jan 2025 - 24 Jul 2025
No
AH7456
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
11 Jan 2025 - 24 Jul 2025
No
AH7456
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
07 Apr 2023 - 13 Dec 2024
No
AH7456
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
07 Apr 2023 - 13 Dec 2024
No
AH7456
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Dec 2019 - 17 Feb 2023
No
AH7456
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Dec 2019 - 17 Feb 2023
No
AH7456
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
23 Mar 2018 - 14 Mar 2019
No
AH7456
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
23 Mar 2018 - 14 Mar 2019
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.