Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAI, KA YAN
Chinese Name of Relevant Individual
戴家恩
HKMA Registration Number
AF8095
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
26 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING INVESTMENT COUNSELLOR
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
26 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING INVESTMENT COUNSELLOR
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 26 Oct 2023
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 26 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Feb 2020 - 11 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
12 Feb 2020 - 11 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Aug 2017 - 17 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 Aug 2017 - 17 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Nov 2012 - 21 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Nov 2012 - 21 Sep 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
TAI, KA YAN
:
Chinese Name of Relevant Individual
戴家恩
:
HKMA Registration Number
AF8095
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
26 Oct 2023
No
PRIVATE BANKING INVESTMENT COUNSELLOR
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
26 Oct 2023
No
PRIVATE BANKING INVESTMENT COUNSELLOR
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)
AF8095
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 26 Oct 2023
No
AF8095
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 26 Oct 2023
No
AF8095
CREDIT SUISSE AG
Type 1: dealing in securities
12 Feb 2020 - 11 Aug 2023
No
AF8095
CREDIT SUISSE AG
Type 4: advising on securities
12 Feb 2020 - 11 Aug 2023
No
AF8095
UBS AG
Type 1: dealing in securities
01 Aug 2017 - 17 Jan 2020
No
AF8095
UBS AG
Type 4: advising on securities
01 Aug 2017 - 17 Jan 2020
No
AF8095
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Nov 2012 - 21 Sep 2015
No
AF8095
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Nov 2012 - 21 Sep 2015
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.