Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, YUN
Chinese Name of Relevant Individual
HKMA Registration Number
AJ0299
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
First date of engagement
05 Dec 2025
Is an Executive Officer? (Yes / No)
No
Capacity
ANALYST, GLOBAL MARKETS DIVISION
Remarks
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
First date of engagement
05 Dec 2025
Is an Executive Officer? (Yes / No)
No
Capacity
ANALYST, GLOBAL MARKETS DIVISION
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
SFC CE number
AAK816
Business Address
26/F, 27/F, 28/F & 30/F, TWO PACIFIC PLACE, 88 QUEENSWAY, ADMIRALTY, 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
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 05 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
Since 05 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Sep 2025 - 02 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
03 Sep 2025 - 02 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
05 May 2025 - 16 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
05 May 2025 - 16 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Aug 2024 - 23 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
13 Aug 2024 - 23 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Dec 2023 - 29 Dec 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
18 Dec 2023 - 29 Dec 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Aug 2022 - 21 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
27 Aug 2022 - 21 Aug 2023
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
LAM, YUN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AJ0299
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
05 Dec 2025
No
ANALYST, GLOBAL MARKETS DIVISION
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
05 Dec 2025
No
ANALYST, GLOBAL MARKETS DIVISION
Name of Registered Institution
SFC CE number
Business Address
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
AAK816
26/F, 27/F, 28/F & 30/F, TWO PACIFIC PLACE, 88 QUEENSWAY, ADMIRALTY, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ0299
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
Since 05 Dec 2025
No
AJ0299
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
Since 05 Dec 2025
No
AJ0299
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
03 Sep 2025 - 02 Dec 2025
No
AJ0299
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
03 Sep 2025 - 02 Dec 2025
No
AJ0299
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
05 May 2025 - 16 May 2025
No
AJ0299
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
05 May 2025 - 16 May 2025
No
AJ0299
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
13 Aug 2024 - 23 Aug 2024
No
AJ0299
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
13 Aug 2024 - 23 Aug 2024
No
AJ0299
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
18 Dec 2023 - 29 Dec 2023
No
AJ0299
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
18 Dec 2023 - 29 Dec 2023
No
AJ0299
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
27 Aug 2022 - 21 Aug 2023
No
AJ0299
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
27 Aug 2022 - 21 Aug 2023
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.