Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HE, XUAN
Chinese Name of Relevant Individual
何旋
HKMA Registration Number
AG5776
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
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jun 2018 - 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
27 Jun 2018 - 25 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
27 Jun 2018 - 25 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jun 2018 - 25 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
27 Jun 2018 - 25 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
27 Jun 2018 - 25 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ING BANK N.V.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
08 Dec 2014 - 06 Oct 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
HE, XUAN
:
Chinese Name of Relevant Individual
何旋
:
HKMA Registration Number
AG5776
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5776
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 Jun 2018 - 25 Mar 2026
No
AG5776
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
27 Jun 2018 - 25 Mar 2026
No
AG5776
DBS BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
27 Jun 2018 - 25 Mar 2026
No
AG5776
DBS BANK LTD.
Type 1: dealing in securities
27 Jun 2018 - 25 Mar 2026
No
AG5776
DBS BANK LTD.
Type 4: advising on securities
27 Jun 2018 - 25 Mar 2026
No
AG5776
DBS BANK LTD.
Type 6: advising on corporate finance
27 Jun 2018 - 25 Mar 2026
No
AG5776
ING BANK N.V.
Type 6: advising on corporate finance
08 Dec 2014 - 06 Oct 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.