Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SZETO, HAU YIN HENRY
Chinese Name of Relevant Individual
司徒孝賢
HKMA Registration Number
AG4370
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
First date of engagement
27 Jul 2021
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT MANAGER
Remarks
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
First date of engagement
27 Jul 2021
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
SFC CE number
AAK077
Business Address
60/F, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
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
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 27 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
Since 27 Jul 2021
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
16 Jun 2017 - 09 Jul 2021
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
16 Jun 2017 - 09 Jul 2021
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
08 Aug 2014 - 31 Mar 2017
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
08 Aug 2014 - 31 Mar 2017
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
SZETO, HAU YIN HENRY
:
Chinese Name of Relevant Individual
司徒孝賢
:
HKMA Registration Number
AG4370
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
27 Jul 2021
No
INVESTMENT MANAGER
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
27 Jul 2021
No
INVESTMENT MANAGER
Name of Registered Institution
SFC CE number
Business Address
DEUTSCHE BANK AKTIENGESELLSCHAFT
AAK077
60/F, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4370
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
Since 27 Jul 2021
No
AG4370
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
Since 27 Jul 2021
No
AG4370
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
16 Jun 2017 - 09 Jul 2021
No
AG4370
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
16 Jun 2017 - 09 Jul 2021
No
AG4370
CREDIT SUISSE AG
Type 1: dealing in securities
08 Aug 2014 - 31 Mar 2017
No
AG4370
CREDIT SUISSE AG
Type 4: advising on securities
08 Aug 2014 - 31 Mar 2017
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.