Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LUI, WING YAN
Chinese Name of Relevant Individual
呂詠恩
HKMA Registration Number
AA1524
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
11 Sep 2017
Is an Executive Officer? (Yes / No)
No
Capacity
TREASURES RELATIONSHIP MANAGER
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Sep 2017
Is an Executive Officer? (Yes / No)
No
Capacity
TREASURES RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DBS BANK (HONG KONG) LIMITED
SFC CE number
AAL664
Business Address
11TH FLOOR, THE CENTER, 99 QUEEN'S 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
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 Sep 2017
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
Since 11 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Mar 2010 - 08 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Mar 2010 - 08 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
15 Sep 2007 - 22 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jan 2006 - 22 Mar 2010
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
01 Jul 2005 - 29 Sep 2005
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 Jul 2005 - 29 Sep 2005
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
01 Apr 2003 - 06 Jul 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 06 Jul 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
LUI, WING YAN
:
Chinese Name of Relevant Individual
呂詠恩
:
HKMA Registration Number
AA1524
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Sep 2017
No
TREASURES RELATIONSHIP MANAGER
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Sep 2017
No
TREASURES RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
DBS BANK (HONG KONG) LIMITED
AAL664
11TH FLOOR, THE CENTER, 99 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1524
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 11 Sep 2017
No
AA1524
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 11 Sep 2017
No
AA1524
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
20 Mar 2010 - 08 Sep 2017
No
AA1524
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
20 Mar 2010 - 08 Sep 2017
No
AA1524
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 4: advising on securities
15 Sep 2007 - 22 Mar 2010
No
AA1524
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
17 Jan 2006 - 22 Mar 2010
No
AA1524
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 29 Sep 2005
No
AA1524
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 29 Sep 2005
No
AA1524
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 06 Jul 2005
No
AA1524
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 06 Jul 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.