Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHIN, DAVID
Chinese Name of Relevant Individual
HKMA Registration Number
AF5549
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
TORONTO-DOMINION BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2016 - 25 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TORONTO-DOMINION BANK
Regulated Activity
Type 4: advising on securities
Effective Period
16 Sep 2016 - 25 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TORONTO-DOMINION BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Aug 2016 - 03 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TORONTO-DOMINION BANK
Regulated Activity
Type 4: advising on securities
Effective Period
29 Aug 2016 - 03 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Mar 2013 - 09 Jan 2015
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
02 Apr 2012 - 18 Oct 2012
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
02 Apr 2012 - 18 Oct 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
SHIN, DAVID
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF5549
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF5549
TORONTO-DOMINION BANK
Type 1: dealing in securities
16 Sep 2016 - 25 Sep 2016
No
AF5549
TORONTO-DOMINION BANK
Type 4: advising on securities
16 Sep 2016 - 25 Sep 2016
No
AF5549
TORONTO-DOMINION BANK
Type 1: dealing in securities
29 Aug 2016 - 03 Sep 2016
No
AF5549
TORONTO-DOMINION BANK
Type 4: advising on securities
29 Aug 2016 - 03 Sep 2016
No
AF5549
BARCLAYS BANK PLC
Type 1: dealing in securities
19 Mar 2013 - 09 Jan 2015
No
AF5549
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
02 Apr 2012 - 18 Oct 2012
No
AF5549
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
02 Apr 2012 - 18 Oct 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.