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WU, CAROL SHU-YEN

吳淑燕
HKMA AH8283HKMA Relevant IndividualCurrently registeredExecutive Officer
Official HKMA record

WU, CAROL SHU-YEN (HKMA registration number AH8283) is a relevant individual on the HKMA Register of Securities Staff of Authorized Institutions. Currently registered to carry on regulated activities at DBS BANK (HONG KONG) LIMITED. Has been engaged at 1 authorized institution over time.

Current Registration (3)

Registered InstitutionRegulated ActivityExec. OfficerCapacityFirst engaged
DBS BANK (HONG KONG) LIMITEDRA 1 Type 1: dealing in securitiesYesHEAD OF PRIVATE BANKING, NORTH ASIA2022-06-27
DBS BANK (HONG KONG) LIMITEDRA 4 Type 4: advising on securitiesYesHEAD OF PRIVATE BANKING, NORTH ASIA2018-06-29
DBS BANK (HONG KONG) LIMITEDRA 9 Type 9: asset managementYesHEAD OF PRIVATE BANKING, NORTH ASIA2022-06-27

Business Address

Registered InstitutionSFC CE No.Address
DBS BANK (HONG KONG) LIMITEDAAL66411TH FLOOR, THE CENTER, 99 QUEEN'S ROAD CENTRAL, HONG KONG.

Conditions

Registered Institution Effective Date Description 1 Registered Institution DBS BANK (HONG KONG) LIMITED Effective Date 27 Jun 2022 --> Description --> For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person. 2 Registered Institution DBS BANK (HONG KONG) LIMITED Effective Date 27 Jun 2022 --> Description --> For Type 9 regulated activity, the Executive Officer shall, when actively participating in or when directly supervising the business of such activity, do so under the advice of another Executive Officer of DBS BANK (HONG KONG) LIMITED not subject to a similar condition.

Registration History (2)

2022-06-27 – present Current
DBS BANK (HONG KONG) LIMITED Executive Officer
RA 1 RA 9
2018-06-29 – present Current
DBS BANK (HONG KONG) LIMITED Executive Officer
RA 4

Data referenced from the HKMA public "Register of Securities Staff of Authorized Institutions" — for reference only.
Official record：apps.hkma.gov.hk · JSON API：/api/hkma/AH8283