Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSAI, SUM YEE
Chinese Name of Relevant Individual
蔡森綺
HKMA Registration Number
AH6642
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
28 May 2019 - 04 Jun 2019
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 May 2019 - 04 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Dec 2017 - 14 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Dec 2017 - 14 May 2019
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
TSAI, SUM YEE
:
Chinese Name of Relevant Individual
蔡森綺
:
HKMA Registration Number
AH6642
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH6642
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 May 2019 - 04 Jun 2019
No
AH6642
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 May 2019 - 04 Jun 2019
No
AH6642
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Dec 2017 - 14 May 2019
No
AH6642
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Dec 2017 - 14 May 2019
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.