Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, SHING YAN IVAN
Chinese Name of Relevant Individual
李丞殷
HKMA Registration Number
AG3362
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
28 Jul 2022
Is an Executive Officer? (Yes / No)
No
Capacity
TREASURES PRIVATE CLIENT RELATIONSHIP MANAGER
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Jul 2022
Is an Executive Officer? (Yes / No)
No
Capacity
TREASURES PRIVATE CLIENT 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 28 Jul 2022
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 28 Jul 2022
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
19 Aug 2021 - 27 May 2022
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
19 Aug 2021 - 27 May 2022
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
10 Dec 2014 - 25 Jul 2021
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
10 Dec 2014 - 25 Jul 2021
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
12 May 2014 - 10 Nov 2014
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
12 May 2014 - 10 Nov 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
12 May 2014 - 10 Nov 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
LI, SHING YAN IVAN
:
Chinese Name of Relevant Individual
李丞殷
:
HKMA Registration Number
AG3362
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
28 Jul 2022
No
TREASURES PRIVATE CLIENT RELATIONSHIP MANAGER
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 Jul 2022
No
TREASURES PRIVATE CLIENT 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)
AG3362
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 28 Jul 2022
No
AG3362
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 28 Jul 2022
No
AG3362
CREDIT SUISSE AG
Type 1: dealing in securities
19 Aug 2021 - 27 May 2022
No
AG3362
CREDIT SUISSE AG
Type 4: advising on securities
19 Aug 2021 - 27 May 2022
No
AG3362
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
10 Dec 2014 - 25 Jul 2021
No
AG3362
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
10 Dec 2014 - 25 Jul 2021
No
AG3362
HANG SENG BANK, LIMITED
Type 1: dealing in securities
12 May 2014 - 10 Nov 2014
No
AG3362
HANG SENG BANK, LIMITED
Type 4: advising on securities
12 May 2014 - 10 Nov 2014
No
AG3362
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
12 May 2014 - 10 Nov 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.