Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HSU, SHU JU MANDY
Chinese Name of Relevant Individual
徐淑茹
HKMA Registration Number
AA2838
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 LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Sep 2012 - 18 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
27 Sep 2012 - 18 Jun 2021
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
11 Mar 2011 - 18 Jun 2021
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
11 Mar 2011 - 18 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
27 Sep 2012 - 21 Feb 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
11 Mar 2011 - 21 Feb 2013
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 - 31 Dec 2010
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 - 31 Dec 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jul 2008 - 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
27 Feb 2007 - 22 Mar 2010
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
25 Mar 2006 - 15 Jan 2007
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
25 Mar 2006 - 15 Jan 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
25 Mar 2006 - 15 Jan 2007
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
21 Jul 2003 - 22 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
21 Jul 2003 - 22 Mar 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 22
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
HSU, SHU JU MANDY
:
Chinese Name of Relevant Individual
徐淑茹
:
HKMA Registration Number
AA2838
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2838
DBS BANK LTD.
Type 1: dealing in securities
27 Sep 2012 - 18 Jun 2021
No
AA2838
DBS BANK LTD.
Type 4: advising on securities
27 Sep 2012 - 18 Jun 2021
No
AA2838
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Mar 2011 - 18 Jun 2021
No
AA2838
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Mar 2011 - 18 Jun 2021
No
AA2838
DBS BANK LTD.
Type 6: advising on corporate finance
27 Sep 2012 - 21 Feb 2013
No
AA2838
DBS BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
11 Mar 2011 - 21 Feb 2013
No
AA2838
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
20 Mar 2010 - 31 Dec 2010
No
AA2838
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
20 Mar 2010 - 31 Dec 2010
No
AA2838
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
04 Jul 2008 - 22 Mar 2010
No
AA2838
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
27 Feb 2007 - 22 Mar 2010
No
AA2838
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
25 Mar 2006 - 15 Jan 2007
No
AA2838
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
25 Mar 2006 - 15 Jan 2007
No
AA2838
DBS BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
25 Mar 2006 - 15 Jan 2007
No
AA2838
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Jul 2003 - 22 Mar 2006
No
AA2838
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Jul 2003 - 22 Mar 2006
No
AA2838
DBS BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
21 Jul 2003 - 22 Mar 2006
No
AA2838
DBS BANK (HONG KONG) LIMITED
Type 9: asset management
21 Jul 2003 - 28 Apr 2005
No
AA2838
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
21 Jul 2003 - 21 Mar 2005
No
AA2838
DBS KWONG ON BANK, LIMITED
Type 1: dealing in securities
01 Apr 2003 - 20 Jul 2003
No
AA2838
DBS KWONG ON BANK, LIMITED
Type 4: advising on securities
01 Apr 2003 - 20 Jul 2003
No
AA2838
DBS KWONG ON BANK, LIMITED
Type 6: advising on corporate finance
01 Apr 2003 - 20 Jul 2003
No
AA2838
DBS KWONG ON BANK, LIMITED
Type 9: asset management
01 Apr 2003 - 20 Jul 2003
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.