Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAM, WING YI
Chinese Name of Relevant Individual
譚穎怡
HKMA Registration Number
AI7353
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
30 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
30 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
First date of engagement
30 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HANG SENG BANK, LIMITED
SFC CE number
AAH297
Business Address
HANG SENG BANK BLDG., 83 DES VOEUX ROAD 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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 30 Oct 2023
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
Since 30 Oct 2023
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
Since 30 Oct 2023
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
28 Oct 2022 - 05 Oct 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
28 Oct 2022 - 05 Oct 2023
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
20 Dec 2021 - 29 Sep 2022
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
10 Aug 2021 - 29 Sep 2022
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
10 Aug 2021 - 29 Sep 2022
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
TAM, WING YI
:
Chinese Name of Relevant Individual
譚穎怡
:
HKMA Registration Number
AI7353
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HANG SENG BANK, LIMITED
Type 1: dealing in securities
30 Oct 2023
No
CUSTOMER SERVICE
HANG SENG BANK, LIMITED
Type 4: advising on securities
30 Oct 2023
No
CUSTOMER SERVICE
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
30 Oct 2023
No
CUSTOMER SERVICE
Name of Registered Institution
SFC CE number
Business Address
HANG SENG BANK, LIMITED
AAH297
HANG SENG BANK BLDG., 83 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI7353
HANG SENG BANK, LIMITED
Type 1: dealing in securities
Since 30 Oct 2023
No
AI7353
HANG SENG BANK, LIMITED
Type 4: advising on securities
Since 30 Oct 2023
No
AI7353
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
Since 30 Oct 2023
No
AI7353
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
28 Oct 2022 - 05 Oct 2023
No
AI7353
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
28 Oct 2022 - 05 Oct 2023
No
AI7353
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
20 Dec 2021 - 29 Sep 2022
No
AI7353
HANG SENG BANK, LIMITED
Type 1: dealing in securities
10 Aug 2021 - 29 Sep 2022
No
AI7353
HANG SENG BANK, LIMITED
Type 4: advising on securities
10 Aug 2021 - 29 Sep 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.