Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHUM, YUK YEE
Chinese Name of Relevant Individual
岑玉如
HKMA Registration Number
AC9995
Current Registration
Not Applicable
Business Address
Not Applicable
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
02 Jan 2015 - 23 Apr 2019
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
02 Jan 2015 - 23 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Jan 2013 - 16 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
02 Jan 2013 - 16 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Jan 2012 - 03 Sep 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
30 Jan 2012 - 03 Sep 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jul 2006 - 12 Feb 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jul 2006 - 12 Feb 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
06 Jul 2006 - 12 Feb 2010
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
SHUM, YUK YEE
:
Chinese Name of Relevant Individual
岑玉如
:
HKMA Registration Number
AC9995
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9995
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
02 Jan 2015 - 23 Apr 2019
No
AC9995
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
02 Jan 2015 - 23 Apr 2019
No
AC9995
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
02 Jan 2013 - 16 May 2014
No
AC9995
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
02 Jan 2013 - 16 May 2014
No
AC9995
BANK MORGAN STANLEY AG
Type 1: dealing in securities
30 Jan 2012 - 03 Sep 2012
No
AC9995
BANK MORGAN STANLEY AG
Type 2: dealing in futures contracts
30 Jan 2012 - 03 Sep 2012
No
AC9995
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
06 Jul 2006 - 12 Feb 2010
No
AC9995
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
06 Jul 2006 - 12 Feb 2010
No
AC9995
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
06 Jul 2006 - 12 Feb 2010
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.