Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, WAI YIN VIVIEN
Chinese Name of Relevant Individual
區慧妍
HKMA Registration Number
AA1275
Current Registration
Not Applicable
Business Address
Not Applicable
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
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Mar 2006 - 28 Mar 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 23 Mar 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 31 Mar 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 21 Mar 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
AU, WAI YIN VIVIEN
:
Chinese Name of Relevant Individual
區慧妍
:
HKMA Registration Number
AA1275
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1275
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 Mar 2006 - 28 Mar 2008
No
AA1275
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 23 Mar 2006
No
AA1275
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 31 Mar 2005
No
AA1275
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
01 Apr 2003 - 21 Mar 2005
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.