Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TONG, DAPHNE WAI YAN
Chinese Name of Relevant Individual
湯煒欣
HKMA Registration Number
AG0132
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Nov 2018 - 03 Dec 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
10 Nov 2015 - 25 Apr 2016
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
10 Nov 2015 - 25 Apr 2016
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
24 Jun 2013 - 23 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jun 2013 - 23 May 2015
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
24 Jun 2013 - 23 May 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
TONG, DAPHNE WAI YAN
:
Chinese Name of Relevant Individual
湯煒欣
:
HKMA Registration Number
AG0132
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0132
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
13 Nov 2018 - 03 Dec 2021
No
AG0132
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
10 Nov 2015 - 25 Apr 2016
No
AG0132
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
10 Nov 2015 - 25 Apr 2016
No
AG0132
HANG SENG BANK, LIMITED
Type 1: dealing in securities
24 Jun 2013 - 23 May 2015
No
AG0132
HANG SENG BANK, LIMITED
Type 4: advising on securities
24 Jun 2013 - 23 May 2015
No
AG0132
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
24 Jun 2013 - 23 May 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.