Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSUI, LAI YAN
Chinese Name of Relevant Individual
徐麗欣
HKMA Registration Number
AH0033
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
08 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGER
Remarks
Registered Institution
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
08 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
SFC CE number
AHS989
Business Address
16/F, K11 ATELIER, VICTORIA DOCKSIDE, NO. 18 SALISBURY ROAD, TSIM SHA TSUI, 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
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 08 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 08 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Dec 2023 - 25 May 2024
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
16 Dec 2023 - 25 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Sep 2019 - 10 Aug 2021
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
28 Sep 2019 - 10 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jan 2018 - 02 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jan 2018 - 02 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Dec 2015 - 12 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
11 Dec 2015 - 12 Oct 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
TSUI, LAI YAN
:
Chinese Name of Relevant Individual
徐麗欣
:
HKMA Registration Number
AH0033
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Type 1: dealing in securities
08 Jun 2024
No
MANAGER
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Type 4: advising on securities
08 Jun 2024
No
MANAGER
Name of Registered Institution
SFC CE number
Business Address
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
AHS989
16/F, K11 ATELIER, VICTORIA DOCKSIDE, NO. 18 SALISBURY ROAD, TSIM SHA TSUI, KOWLOON
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH0033
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Type 1: dealing in securities
Since 08 Jun 2024
No
AH0033
TAIPEI FUBON COMMERCIAL BANK CO., LTD.
Type 4: advising on securities
Since 08 Jun 2024
No
AH0033
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Dec 2023 - 25 May 2024
No
AH0033
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Dec 2023 - 25 May 2024
No
AH0033
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 Sep 2019 - 10 Aug 2021
No
AH0033
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 Sep 2019 - 10 Aug 2021
No
AH0033
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
18 Jan 2018 - 02 Sep 2019
No
AH0033
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
18 Jan 2018 - 02 Sep 2019
No
AH0033
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
11 Dec 2015 - 12 Oct 2016
No
AH0033
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
11 Dec 2015 - 12 Oct 2016
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.