Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAU, WING SUM
Chinese Name of Relevant Individual
邱榮森
HKMA Registration Number
AC5265
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
03 Jun 2010
Is an Executive Officer? (Yes / No)
No
Capacity
TEAM HEAD, INVESTMENT PRODUCTS MANAGEMENT, CONSUMER BANKING
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
03 Jun 2010
Is an Executive Officer? (Yes / No)
No
Capacity
TEAM HEAD, INVESTMENT PRODUCTS MANAGEMENT, CONSUMER BANKING
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 03 Jun 2010
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 03 Jun 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Aug 2009 - 17 May 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jan 2006 - 04 Jun 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
17 Jan 2006 - 04 Jun 2009
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
20 Jul 2005 - 13 Nov 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
20 Jul 2005 - 13 Nov 2005
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 - 14 Jul 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 - 14 Jul 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
05 Apr 2005 - 07 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
05 Apr 2005 - 07 Jul 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
YAU, WING SUM
:
Chinese Name of Relevant Individual
邱榮森
:
HKMA Registration Number
AC5265
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
03 Jun 2010
No
TEAM HEAD, INVESTMENT PRODUCTS MANAGEMENT, CONSUMER BANKING
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Jun 2010
No
TEAM HEAD, INVESTMENT PRODUCTS MANAGEMENT, CONSUMER BANKING
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)
AC5265
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 03 Jun 2010
No
AC5265
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 03 Jun 2010
No
AC5265
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Aug 2009 - 17 May 2010
No
AC5265
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
17 Jan 2006 - 04 Jun 2009
No
AC5265
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
17 Jan 2006 - 04 Jun 2009
No
AC5265
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Jul 2005 - 13 Nov 2005
No
AC5265
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Jul 2005 - 13 Nov 2005
No
AC5265
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 14 Jul 2005
No
AC5265
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 14 Jul 2005
No
AC5265
CITIBANK, N.A.
Type 1: dealing in securities
05 Apr 2005 - 07 Jul 2005
No
AC5265
CITIBANK, N.A.
Type 4: advising on securities
05 Apr 2005 - 07 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.