Register of Securities Staff of AIs

Last updated on 18/06/2026
< SEARCH AGAIN
Name of Relevant Individual
TAM, SUM YIN
Chinese Name of Relevant Individual

譚心然
HKMA Registration Number
AJ5672
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
26 Oct 2024
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT VICE PRESIDENT, COMMERCIAL BANKING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
26 Oct 2024
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT VICE PRESIDENT, COMMERCIAL BANKING
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
TAM, SUM YIN
:
Chinese Name of Relevant Individual
譚心然
:
HKMA Registration Number
AJ5672
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
26 Oct 2024
No
ASSISTANT VICE PRESIDENT, COMMERCIAL BANKING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
26 Oct 2024
No
ASSISTANT VICE PRESIDENT, COMMERCIAL BANKING