Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HAU, NGA YAN DENISE
Chinese Name of Relevant Individual
侯雅恩
HKMA Registration Number
AA2845
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
15 May 2026
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING ASSISTANT RELATIONSHIP MANAGER
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
15 May 2026
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING ASSISTANT 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 15 May 2026
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 15 May 2026
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
07 Sep 2019 - 09 Apr 2026
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
07 Sep 2019 - 09 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Sep 2019 - 09 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Sep 2019 - 09 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jul 2018 - 26 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jun 2008 - 22 Jun 2018
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
04 Jun 2008 - 22 Jun 2018
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
22 Dec 2007 - 22 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Dec 2007 - 22 Jun 2018
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
06 Sep 2007 - 30 Nov 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
06 Sep 2007 - 30 Nov 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Dec 2005 - 01 Sep 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
16 Dec 2005 - 01 Sep 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 23
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
HAU, NGA YAN DENISE
:
Chinese Name of Relevant Individual
侯雅恩
:
HKMA Registration Number
AA2845
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
15 May 2026
No
PRIVATE BANKING ASSISTANT RELATIONSHIP MANAGER
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
15 May 2026
No
PRIVATE BANKING ASSISTANT 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)
AA2845
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 15 May 2026
No
AA2845
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 15 May 2026
No
AA2845
CITIBANK, N.A.
Type 1: dealing in securities
07 Sep 2019 - 09 Apr 2026
No
AA2845
CITIBANK, N.A.
Type 4: advising on securities
07 Sep 2019 - 09 Apr 2026
No
AA2845
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
07 Sep 2019 - 09 Apr 2026
No
AA2845
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
07 Sep 2019 - 09 Apr 2026
No
AA2845
UBS AG
Type 1: dealing in securities
17 Jul 2018 - 26 Aug 2019
No
AA2845
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
06 Jun 2008 - 22 Jun 2018
No
AA2845
CITIBANK, N.A.
Type 4: advising on securities
04 Jun 2008 - 22 Jun 2018
No
AA2845
CITIBANK, N.A.
Type 1: dealing in securities
22 Dec 2007 - 22 Jun 2018
No
AA2845
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
22 Dec 2007 - 22 Jun 2018
No
AA2845
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 Sep 2007 - 30 Nov 2007
No
AA2845
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
06 Sep 2007 - 30 Nov 2007
No
AA2845
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
16 Dec 2005 - 01 Sep 2007
No
AA2845
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
16 Dec 2005 - 01 Sep 2007
No
AA2845
HANG SENG BANK, LIMITED
Type 1: dealing in securities
04 Jan 2005 - 30 Nov 2005
No
AA2845
HANG SENG BANK, LIMITED
Type 4: advising on securities
04 Jan 2005 - 30 Nov 2005
No
AA2845
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
04 Jan 2005 - 30 Nov 2005
No
AA2845
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Jul 2003 - 19 Aug 2003
No
AA2845
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Jul 2003 - 19 Aug 2003
No
AA2845
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
21 Jul 2003 - 19 Aug 2003
No
AA2845
DBS KWONG ON BANK, LIMITED
Type 1: dealing in securities
01 Apr 2003 - 20 Jul 2003
No
AA2845
DBS KWONG ON BANK, LIMITED
Type 4: advising on securities
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.