Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, SZE WAI LUCIA
Chinese Name of Relevant Individual
黃思慧
HKMA Registration Number
AC5691
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
31 Oct 2012
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
31 Oct 2012
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 31 Oct 2012
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 31 Oct 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Jun 2011 - 30 Mar 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Jun 2011 - 30 Mar 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
25 Jun 2011 - 30 Mar 2012
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
29 Aug 2010 - 14 Feb 2011
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
29 Aug 2010 - 14 Feb 2011
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
07 May 2009 - 01 Jul 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Apr 2007 - 31 Dec 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
26 Apr 2007 - 31 Dec 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jun 2006 - 04 Jan 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 May 2005 - 28 May 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
24 May 2005 - 28 May 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
WONG, SZE WAI LUCIA
:
Chinese Name of Relevant Individual
黃思慧
:
HKMA Registration Number
AC5691
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
31 Oct 2012
No
TREASURES RELATIONSHIP MANAGER
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
31 Oct 2012
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)
AC5691
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 31 Oct 2012
No
AC5691
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 31 Oct 2012
No
AC5691
HANG SENG BANK, LIMITED
Type 1: dealing in securities
25 Jun 2011 - 30 Mar 2012
No
AC5691
HANG SENG BANK, LIMITED
Type 4: advising on securities
25 Jun 2011 - 30 Mar 2012
No
AC5691
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
25 Jun 2011 - 30 Mar 2012
No
AC5691
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
29 Aug 2010 - 14 Feb 2011
No
AC5691
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
29 Aug 2010 - 14 Feb 2011
No
AC5691
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 May 2009 - 01 Jul 2010
No
AC5691
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
26 Apr 2007 - 31 Dec 2008
No
AC5691
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
26 Apr 2007 - 31 Dec 2008
No
AC5691
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
15 Jun 2006 - 04 Jan 2007
No
AC5691
DAH SING BANK, LIMITED
Type 1: dealing in securities
24 May 2005 - 28 May 2006
No
AC5691
DAH SING BANK, LIMITED
Type 4: advising on securities
24 May 2005 - 28 May 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.