Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAM, YIU SUM SAM
Chinese Name of Relevant Individual
譚耀森
HKMA Registration Number
AI6898
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
14 Nov 2025
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
14 Nov 2025
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 14 Nov 2025
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 14 Nov 2025
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
30 Aug 2025 - 26 Sep 2025
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
30 Aug 2025 - 26 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Mar 2023 - 17 Aug 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
22 Mar 2023 - 17 Aug 2025
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
13 Apr 2022 - 01 Feb 2023
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
13 Apr 2022 - 01 Feb 2023
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
26 Jun 2021 - 19 Feb 2022
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
26 Jun 2021 - 19 Feb 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, YIU SUM SAM
:
Chinese Name of Relevant Individual
譚耀森
:
HKMA Registration Number
AI6898
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
14 Nov 2025
No
COMMERCIAL BANKING
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
14 Nov 2025
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)
AI6898
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
Since 14 Nov 2025
No
AI6898
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
Since 14 Nov 2025
No
AI6898
DAH SING BANK, LIMITED
Type 1: dealing in securities
30 Aug 2025 - 26 Sep 2025
No
AI6898
DAH SING BANK, LIMITED
Type 4: advising on securities
30 Aug 2025 - 26 Sep 2025
No
AI6898
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
22 Mar 2023 - 17 Aug 2025
No
AI6898
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
22 Mar 2023 - 17 Aug 2025
No
AI6898
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
13 Apr 2022 - 01 Feb 2023
No
AI6898
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
13 Apr 2022 - 01 Feb 2023
No
AI6898
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 Jun 2021 - 19 Feb 2022
No
AI6898
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
26 Jun 2021 - 19 Feb 2022
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.