Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, SAU FUNG
Chinese Name of Relevant Individual
廖秀峰
HKMA Registration Number
AF5039
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
16 Jun 2026
Is an Executive Officer? (Yes / No)
No
Capacity
BRANCH BUSINESS MANAGER
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
16 Jun 2026
Is an Executive Officer? (Yes / No)
No
Capacity
BRANCH BUSINESS 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 16 Jun 2026
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 16 Jun 2026
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
11 Jul 2025 - 17 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jul 2025 - 17 May 2026
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
29 Apr 2014 - 18 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 Apr 2014 - 18 Aug 2022
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
10 Feb 2014 - 21 Mar 2014
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
10 Feb 2014 - 21 Mar 2014
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
21 Feb 2012 - 10 Dec 2012
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
21 Feb 2012 - 10 Dec 2012
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
LIU, SAU FUNG
:
Chinese Name of Relevant Individual
廖秀峰
:
HKMA Registration Number
AF5039
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
16 Jun 2026
No
BRANCH BUSINESS MANAGER
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Jun 2026
No
BRANCH BUSINESS 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)
AF5039
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 16 Jun 2026
No
AF5039
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 16 Jun 2026
No
AF5039
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Jul 2025 - 17 May 2026
No
AF5039
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Jul 2025 - 17 May 2026
No
AF5039
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
29 Apr 2014 - 18 Aug 2022
No
AF5039
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
29 Apr 2014 - 18 Aug 2022
No
AF5039
HANG SENG BANK, LIMITED
Type 1: dealing in securities
10 Feb 2014 - 21 Mar 2014
No
AF5039
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
10 Feb 2014 - 21 Mar 2014
No
AF5039
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
21 Feb 2012 - 10 Dec 2012
No
AF5039
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
21 Feb 2012 - 10 Dec 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.