Register of Securities Staff of AIs

Last updated on 18/06/2026
< SEARCH AGAIN
Name of Relevant Individual
WU, CAROL SHU-YEN
Chinese Name of Relevant Individual

吳淑燕
HKMA Registration Number
AH8283
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
27 Jun 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF PRIVATE BANKING, NORTH ASIA
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
29 Jun 2018
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF PRIVATE BANKING, NORTH ASIA
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
First date of engagement
27 Jun 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF PRIVATE BANKING, NORTH ASIA
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
WU, CAROL SHU-YEN
:
Chinese Name of Relevant Individual
吳淑燕
:
HKMA Registration Number
AH8283
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
27 Jun 2022
Yes
HEAD OF PRIVATE BANKING, NORTH ASIA
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
29 Jun 2018
Yes
HEAD OF PRIVATE BANKING, NORTH ASIA
DBS BANK (HONG KONG) LIMITED
Type 9: asset management
27 Jun 2022
Yes
HEAD OF PRIVATE BANKING, NORTH ASIA