Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAN, SHENG
Chinese Name of Relevant Individual
嚴聖
HKMA Registration Number
AA1284
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
STANDARD BANK ASIA LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
31 Mar 2006 - 28 Sep 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Apr 2003 - 07 Jan 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 06 Jan 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
YAN, SHENG
:
Chinese Name of Relevant Individual
嚴聖
:
HKMA Registration Number
AA1284
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1284
STANDARD BANK ASIA LIMITED
Type 6: advising on corporate finance
31 Mar 2006 - 28 Sep 2006
No
AA1284
COMMONWEALTH BANK OF AUSTRALIA
Type 6: advising on corporate finance
01 Apr 2003 - 07 Jan 2004
No
AA1284
COMMONWEALTH BANK OF AUSTRALIA
Type 1: dealing in securities
01 Apr 2003 - 06 Jan 2004
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.