WU, CAROL SHU-YEN

吳淑燕

HKMA AH8283HKMA 有關人士現時已註冊主管人員 (EO)

WU, CAROL SHU-YEN（HKMA 註冊編號 AH8283）為香港金融管理局「認可機構證券業務員工註冊紀錄冊」內的有關人士。現時於 DBS BANK (HONG KONG) LIMITED 註冊進行受規管活動。歷年曾於 1 間認可機構任職。

現時註冊 Current Registration (3)

註冊機構	受規管活動	主管人員	職位 Capacity	首次受聘日期
DBS BANK (HONG KONG) LIMITED	RA 1 Type 1: dealing in securities	是	HEAD OF PRIVATE BANKING, NORTH ASIA	2022-06-27
DBS BANK (HONG KONG) LIMITED	RA 4 Type 4: advising on securities	是	HEAD OF PRIVATE BANKING, NORTH ASIA	2018-06-29
DBS BANK (HONG KONG) LIMITED	RA 9 Type 9: asset management	是	HEAD OF PRIVATE BANKING, NORTH ASIA	2022-06-27

業務地址 Business Address

註冊機構	SFC CE 編號	地址
DBS BANK (HONG KONG) LIMITED	AAL664	11TH FLOOR, THE CENTER, 99 QUEEN'S ROAD CENTRAL, HONG KONG.

註冊條件 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.

註冊紀錄 Registration History (2)

2022-06-27 – 現時現職

DBS BANK (HONG KONG) LIMITED 主管人員 (EO)

RA 1 RA 9

2018-06-29 – 現時現職

DBS BANK (HONG KONG) LIMITED 主管人員 (EO)

RA 4

資料引用自香港金融管理局（HKMA）「認可機構證券業務員工註冊紀錄冊」公開紀錄，僅供參考。
官方紀錄：apps.hkma.gov.hk · JSON API：/api/hkma/AH8283