Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, PIK NAM BRENDA
Chinese Name of Relevant Individual
陳碧楠
HKMA Registration Number
AG5817
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
10 Apr 2025
Is an Executive Officer? (Yes / No)
Yes
Capacity
DEPARTMENT HEAD, LIQUIDITY FUNDING MANAGEMENT, GLOBAL FINANCIAL MARKETS
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
10 Apr 2025
Is an Executive Officer? (Yes / No)
Yes
Capacity
DEPARTMENT HEAD, LIQUIDITY FUNDING MANAGEMENT, GLOBAL FINANCIAL MARKETS
Remarks
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
10 Apr 2025
Is an Executive Officer? (Yes / No)
Yes
Capacity
DEPARTMENT HEAD, LIQUIDITY FUNDING MANAGEMENT, GLOBAL FINANCIAL MARKETS
Remarks
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
10 Apr 2025
Is an Executive Officer? (Yes / No)
Yes
Capacity
DEPARTMENT HEAD, LIQUIDITY FUNDING MANAGEMENT, GLOBAL FINANCIAL MARKETS
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.
Name of Registered Institution
DBS BANK LTD.
SFC CE number
AAC212
Business Address
G/F & 18/F, 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 09 Sep 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 09 Sep 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 09 Sep 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 09 Sep 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Apr 2025 - 08 Sep 2025
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 Apr 2025 - 08 Sep 2025
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
10 Apr 2025 - 08 Sep 2025
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
10 Apr 2025 - 08 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
31 May 2019 - 31 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2019 - 31 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Aug 2017 - 15 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Aug 2017 - 15 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WESTPAC BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Dec 2014 - 12 Jan 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
CHAN, PIK NAM BRENDA
:
Chinese Name of Relevant Individual
陳碧楠
:
HKMA Registration Number
AG5817
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
10 Apr 2025
Yes
DEPARTMENT HEAD, LIQUIDITY FUNDING MANAGEMENT, GLOBAL FINANCIAL MARKETS
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
10 Apr 2025
Yes
DEPARTMENT HEAD, LIQUIDITY FUNDING MANAGEMENT, GLOBAL FINANCIAL MARKETS
DBS BANK LTD.
Type 1: dealing in securities
10 Apr 2025
Yes
DEPARTMENT HEAD, LIQUIDITY FUNDING MANAGEMENT, GLOBAL FINANCIAL MARKETS
DBS BANK LTD.
Type 4: advising on securities
10 Apr 2025
Yes
DEPARTMENT HEAD, LIQUIDITY FUNDING MANAGEMENT, GLOBAL FINANCIAL MARKETS
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.
DBS BANK LTD.
AAC212
G/F & 18/F, 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)
AG5817
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 09 Sep 2025
Yes
AG5817
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 09 Sep 2025
Yes
AG5817
DBS BANK LTD.
Type 1: dealing in securities
Since 09 Sep 2025
Yes
AG5817
DBS BANK LTD.
Type 4: advising on securities
Since 09 Sep 2025
Yes
AG5817
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
10 Apr 2025 - 08 Sep 2025
No
AG5817
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
10 Apr 2025 - 08 Sep 2025
No
AG5817
DBS BANK LTD.
Type 1: dealing in securities
10 Apr 2025 - 08 Sep 2025
No
AG5817
DBS BANK LTD.
Type 4: advising on securities
10 Apr 2025 - 08 Sep 2025
No
AG5817
BANK OF NEW YORK MELLON (THE)
Type 1: dealing in securities
31 May 2019 - 31 Mar 2025
No
AG5817
BANK OF NEW YORK MELLON (THE)
Type 4: advising on securities
31 May 2019 - 31 Mar 2025
No
AG5817
UBS AG
Type 1: dealing in securities
09 Aug 2017 - 15 May 2019
No
AG5817
UBS AG
Type 4: advising on securities
09 Aug 2017 - 15 May 2019
No
AG5817
WESTPAC BANKING CORPORATION
Type 1: dealing in securities
12 Dec 2014 - 12 Jan 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.