Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TONG, SHING YAN
Chinese Name of Relevant Individual
湯成恩
HKMA Registration Number
AH2051
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
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Nov 2018 - 30 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Nov 2018 - 30 Sep 2025
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
14 Jul 2016 - 13 Aug 2018
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
14 Jul 2016 - 13 Aug 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
TONG, SHING YAN
:
Chinese Name of Relevant Individual
湯成恩
:
HKMA Registration Number
AH2051
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH2051
UNITED OVERSEAS BANK LIMITED
Type 1: dealing in securities
23 Nov 2018 - 30 Sep 2025
No
AH2051
UNITED OVERSEAS BANK LIMITED
Type 4: advising on securities
23 Nov 2018 - 30 Sep 2025
No
AH2051
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
14 Jul 2016 - 13 Aug 2018
No
AH2051
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
14 Jul 2016 - 13 Aug 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.