Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, TAK FUNG DAPHNE
Chinese Name of Relevant Individual
蘇德鳳
HKMA Registration Number
AC5529
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
First date of engagement
14 Jun 2018
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT SERVICE EXECUTIVE
Remarks
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Jun 2018
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT SERVICE EXECUTIVE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
SFC CE number
AAK077
Business Address
60/F, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
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
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 14 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
Since 14 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jul 2017 - 13 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jul 2017 - 13 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jun 2006 - 30 Sep 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE BANK & TRUST
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jun 2006 - 18 Jun 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
02 May 2005 - 18 Jun 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
SO, TAK FUNG DAPHNE
:
Chinese Name of Relevant Individual
蘇德鳳
:
HKMA Registration Number
AC5529
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
14 Jun 2018
No
CLIENT SERVICE EXECUTIVE
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
14 Jun 2018
No
CLIENT SERVICE EXECUTIVE
Name of Registered Institution
SFC CE number
Business Address
DEUTSCHE BANK AKTIENGESELLSCHAFT
AAK077
60/F, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5529
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
Since 14 Jun 2018
No
AC5529
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
Since 14 Jun 2018
No
AC5529
CREDIT SUISSE AG
Type 1: dealing in securities
14 Jul 2017 - 13 Jun 2018
No
AC5529
CREDIT SUISSE AG
Type 4: advising on securities
14 Jul 2017 - 13 Jun 2018
No
AC5529
EFG BANK AG
Type 1: dealing in securities
27 Jun 2006 - 30 Sep 2013
No
AC5529
SOCIETE GENERALE BANK & TRUST
Type 1: dealing in securities
13 Jun 2006 - 18 Jun 2006
No
AC5529
SOCIETE GENERALE
Type 1: dealing in securities
02 May 2005 - 18 Jun 2006
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.