Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAN, SOON LYE
Chinese Name of Relevant Individual
HKMA Registration Number
AH9960
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
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Oct 2019 - 25 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
24 Oct 2019 - 25 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Aug 2019 - 08 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
02 Aug 2019 - 08 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jun 2019 - 21 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jun 2019 - 21 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Apr 2019 - 26 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
24 Apr 2019 - 26 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Mar 2019 - 29 Mar 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
22 Mar 2019 - 29 Mar 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Feb 2019 - 22 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
20 Feb 2019 - 22 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jan 2019 - 18 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jan 2019 - 18 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Dec 2018 - 14 Dec 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 18
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
TAN, SOON LYE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH9960
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
24 Oct 2019 - 25 Oct 2019
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
24 Oct 2019 - 25 Oct 2019
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
02 Aug 2019 - 08 Aug 2019
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
02 Aug 2019 - 08 Aug 2019
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
14 Jun 2019 - 21 Jun 2019
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
14 Jun 2019 - 21 Jun 2019
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
24 Apr 2019 - 26 Apr 2019
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
24 Apr 2019 - 26 Apr 2019
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
22 Mar 2019 - 29 Mar 2019
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
22 Mar 2019 - 29 Mar 2019
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
20 Feb 2019 - 22 Feb 2019
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
20 Feb 2019 - 22 Feb 2019
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
11 Jan 2019 - 18 Jan 2019
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
11 Jan 2019 - 18 Jan 2019
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
03 Dec 2018 - 14 Dec 2018
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
03 Dec 2018 - 14 Dec 2018
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
09 Nov 2018 - 23 Nov 2018
No
AH9960
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
09 Nov 2018 - 23 Nov 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.