Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, YU SUM
Chinese Name of Relevant Individual
吳汝琛
HKMA Registration Number
AI2992
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
09 Oct 2019 - 07 Mar 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
09 Oct 2019 - 07 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Oct 2019 - 06 Sep 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
09 Oct 2019 - 06 Sep 2020
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
NG, YU SUM
:
Chinese Name of Relevant Individual
吳汝琛
:
HKMA Registration Number
AI2992
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI2992
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Oct 2019 - 07 Mar 2021
No
AI2992
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Oct 2019 - 07 Mar 2021
No
AI2992
DBS BANK LTD.
Type 1: dealing in securities
09 Oct 2019 - 06 Sep 2020
No
AI2992
DBS BANK LTD.
Type 4: advising on securities
09 Oct 2019 - 06 Sep 2020
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.