Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
THAM, SIOK KUAN
Chinese Name of Relevant Individual
HKMA Registration Number
AI4501
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 9: asset management
Effective Period
18 Mar 2021 - 06 May 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jun 2020 - 06 May 2022
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 Jun 2020 - 06 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 9: asset management
Effective Period
11 Jun 2020 - 17 Mar 2021
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
THAM, SIOK KUAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI4501
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI4501
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 9: asset management
18 Mar 2021 - 06 May 2022
Yes
AI4501
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
11 Jun 2020 - 06 May 2022
No
AI4501
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
11 Jun 2020 - 06 May 2022
No
AI4501
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 9: asset management
11 Jun 2020 - 17 Mar 2021
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.