Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GARG, SHRUTI
Chinese Name of Relevant Individual
HKMA Registration Number
AC9766
Other HKMA Registration Number(s)
AC4792
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
11 Mar 2015
Is an Executive Officer? (Yes / No)
No
Capacity
TEAM LEAD, PRIVATE BANKING RELATIONSHIP MANAGER
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Mar 2015
Is an Executive Officer? (Yes / No)
No
Capacity
TEAM LEAD, PRIVATE BANKING 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 11 Mar 2015
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 11 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 Dec 2013 - 11 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Dec 2011 - 11 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Aug 2008 - 21 Nov 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ING BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jun 2008 - 29 Jan 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ING ASIA PRIVATE BANK LTD
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Aug 2008 - 24 Aug 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ING BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jun 2006 - 22 Jun 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Feb 2005 - 08 Jun 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 9: asset management
Effective Period
21 Feb 2005 - 08 Jun 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
GARG, SHRUTI
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AC9766
:
Other HKMA Registration Number(s)
AC4792
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
11 Mar 2015
No
TEAM LEAD, PRIVATE BANKING RELATIONSHIP MANAGER
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Mar 2015
No
TEAM LEAD, PRIVATE BANKING 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)
AC9766
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 11 Mar 2015
No
AC9766
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 11 Mar 2015
No
AC9766
UBS AG
Type 4: advising on securities
31 Dec 2013 - 11 Nov 2014
No
AC9766
UBS AG
Type 1: dealing in securities
13 Dec 2011 - 11 Nov 2014
No
AC9766
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
30 Aug 2008 - 21 Nov 2011
No
AC9766
ING BANK N.V.
Type 1: dealing in securities
26 Jun 2008 - 29 Jan 2010
No
AC9766
ING ASIA PRIVATE BANK LTD
Type 1: dealing in securities
21 Aug 2008 - 24 Aug 2008
No
AC9766
ING BANK N.V.
Type 1: dealing in securities
20 Jun 2006 - 22 Jun 2008
No
AC4792
ABN AMRO BANK N.V.
Type 1: dealing in securities
21 Feb 2005 - 08 Jun 2006
No
AC4792
ABN AMRO BANK N.V.
Type 9: asset management
21 Feb 2005 - 08 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.