Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, COLIN YI
Chinese Name of Relevant Individual
李奕
HKMA Registration Number
AG4980
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
25 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING RELATIONSHIP MANAGER
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING 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 25 Mar 2026
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 25 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Mar 2018 - 07 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
29 Mar 2018 - 07 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 6: advising on corporate finance
Effective Period
11 Sep 2017 - 02 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Oct 2014 - 02 Mar 2018
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
LI, COLIN YI
:
Chinese Name of Relevant Individual
李奕
:
HKMA Registration Number
AG4980
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
25 Mar 2026
No
PRIVATE BANKING RELATIONSHIP MANAGER
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
25 Mar 2026
No
PRIVATE BANKING 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)
AG4980
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 25 Mar 2026
No
AG4980
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 25 Mar 2026
No
AG4980
UBS AG
Type 1: dealing in securities
29 Mar 2018 - 07 Nov 2018
No
AG4980
UBS AG
Type 4: advising on securities
29 Mar 2018 - 07 Nov 2018
No
AG4980
BNP PARIBAS
Type 6: advising on corporate finance
11 Sep 2017 - 02 Mar 2018
No
AG4980
BNP PARIBAS
Type 1: dealing in securities
04 Oct 2014 - 02 Mar 2018
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.