Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAM, WAI SHING
Chinese Name of Relevant Individual
譚煒成
HKMA Registration Number
AI8329
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
31 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, BRANCHES
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
31 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, BRANCHES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
SFC CE number
AAF138
Business Address
61-65, 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
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 31 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 31 Oct 2023
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
26 Jan 2023 - 25 Sep 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
26 Jan 2023 - 25 Sep 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
26 Jan 2023 - 25 Sep 2023
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
01 Aug 2022 - 30 Nov 2022
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
03 Dec 2021 - 30 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Dec 2021 - 31 Jul 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, WAI SHING
:
Chinese Name of Relevant Individual
譚煒成
:
HKMA Registration Number
AI8329
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
31 Oct 2023
No
SALES, BRANCHES
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
31 Oct 2023
No
SALES, BRANCHES
Name of Registered Institution
SFC CE number
Business Address
CHINA CITIC BANK INTERNATIONAL LIMITED
AAF138
61-65, DES VOEUX ROAD CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI8329
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 31 Oct 2023
No
AI8329
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
Since 31 Oct 2023
No
AI8329
HANG SENG BANK, LIMITED
Type 1: dealing in securities
26 Jan 2023 - 25 Sep 2023
No
AI8329
HANG SENG BANK, LIMITED
Type 4: advising on securities
26 Jan 2023 - 25 Sep 2023
No
AI8329
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
26 Jan 2023 - 25 Sep 2023
No
AI8329
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Aug 2022 - 30 Nov 2022
No
AI8329
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Dec 2021 - 30 Nov 2022
No
AI8329
CITIBANK, N.A.
Type 1: dealing in securities
03 Dec 2021 - 31 Jul 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.