Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WANG, RUI
Chinese Name of Relevant Individual
王瑞
HKMA Registration Number
AF1380
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
12 Jul 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF INVESTMENT BANKING COVERAGE & ADVISORY, GREATER CHINA
Remarks
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
12 Jul 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF INVESTMENT BANKING COVERAGE & ADVISORY, GREATER CHINA
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
Registered Institution
Effective Date
Description
1
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Effective Date
19 Mar 2024
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
2
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Effective Date
19 Mar 2024
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
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 19 Mar 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 19 Mar 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jul 2023 - 18 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
12 Jul 2023 - 18 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Oct 2017 - 19 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
11 Oct 2017 - 19 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Mar 2017 - 19 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 6: advising on corporate finance
Effective Period
02 Mar 2017 - 19 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Dec 2011 - 10 Feb 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
30 May 2011 - 10 Feb 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
30 May 2011 - 10 Feb 2012
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
WANG, RUI
:
Chinese Name of Relevant Individual
王瑞
:
HKMA Registration Number
AF1380
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
12 Jul 2023
Yes
HEAD OF INVESTMENT BANKING COVERAGE & ADVISORY, GREATER CHINA
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
12 Jul 2023
Yes
HEAD OF INVESTMENT BANKING COVERAGE & ADVISORY, GREATER CHINA
Name of Registered Institution
SFC CE number
Business Address
DEUTSCHE BANK AKTIENGESELLSCHAFT
AAK077
60/F, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Registered Institution
Effective Date
Description
DEUTSCHE BANK AKTIENGESELLSCHAFT
1
19 Mar 2024
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
DEUTSCHE BANK AKTIENGESELLSCHAFT
2
19 Mar 2024
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1380
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
Since 19 Mar 2024
Yes
AF1380
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
Since 19 Mar 2024
Yes
AF1380
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
12 Jul 2023 - 18 Mar 2024
No
AF1380
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
12 Jul 2023 - 18 Mar 2024
No
AF1380
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
11 Oct 2017 - 19 Oct 2018
No
AF1380
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
11 Oct 2017 - 19 Oct 2018
No
AF1380
BNP PARIBAS
Type 1: dealing in securities
02 Mar 2017 - 19 Jul 2017
No
AF1380
BNP PARIBAS
Type 6: advising on corporate finance
02 Mar 2017 - 19 Jul 2017
No
AF1380
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
10 Dec 2011 - 10 Feb 2012
No
AF1380
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
30 May 2011 - 10 Feb 2012
No
AF1380
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 6: advising on corporate finance
30 May 2011 - 10 Feb 2012
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.