Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
POON, PIK WA
Chinese Name of Relevant Individual
潘碧華
HKMA Registration Number
AF3466
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
20 Aug 2021
Is an Executive Officer? (Yes / No)
No
Capacity
TREASURES PRIVATE CLIENT ASSISTANT RELATIONSHIP MANAGER
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
20 Aug 2021
Is an Executive Officer? (Yes / No)
No
Capacity
TREASURES PRIVATE CLIENT ASSISTANT 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 20 Aug 2021
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 20 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Oct 2018 - 06 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Oct 2018 - 06 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Sep 2017 - 30 Sep 2018
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
11 Sep 2017 - 30 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Jan 2014 - 08 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
30 Jan 2014 - 08 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING HANG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Oct 2011 - 23 Jan 2014
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
POON, PIK WA
:
Chinese Name of Relevant Individual
潘碧華
:
HKMA Registration Number
AF3466
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
20 Aug 2021
No
TREASURES PRIVATE CLIENT ASSISTANT RELATIONSHIP MANAGER
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Aug 2021
No
TREASURES PRIVATE CLIENT ASSISTANT 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)
AF3466
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 20 Aug 2021
No
AF3466
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 20 Aug 2021
No
AF3466
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
27 Oct 2018 - 06 Aug 2021
No
AF3466
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
27 Oct 2018 - 06 Aug 2021
No
AF3466
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Sep 2017 - 30 Sep 2018
No
AF3466
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Sep 2017 - 30 Sep 2018
No
AF3466
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
30 Jan 2014 - 08 Sep 2017
No
AF3466
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
30 Jan 2014 - 08 Sep 2017
No
AF3466
WING HANG BANK, LIMITED
Type 1: dealing in securities
21 Oct 2011 - 23 Jan 2014
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.