Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
XIAO, YANMING
Chinese Name of Relevant Individual
肖艷明
HKMA Registration Number
AA2955
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
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Sep 2010 - 25 Feb 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Oct 2007 - 18 Aug 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
16 Oct 2007 - 18 Aug 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS BANK VON ERNST AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jun 2005 - 27 Sep 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
06 May 2004 - 21 Apr 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jan 2004 - 25 Apr 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
12 Jan 2004 - 25 Apr 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 18 Jan 2004
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
01 Apr 2003 - 18 Jan 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 18 Jan 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
01 Apr 2003 - 18 Jan 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
XIAO, YANMING
:
Chinese Name of Relevant Individual
肖艷明
:
HKMA Registration Number
AA2955
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2955
UBS AG
Type 1: dealing in securities
21 Sep 2010 - 25 Feb 2013
No
AA2955
CREDIT SUISSE AG
Type 1: dealing in securities
16 Oct 2007 - 18 Aug 2010
No
AA2955
CREDIT SUISSE AG
Type 4: advising on securities
16 Oct 2007 - 18 Aug 2010
No
AA2955
COUTTS BANK VON ERNST AG
Type 1: dealing in securities
24 Jun 2005 - 27 Sep 2007
No
AA2955
CITIBANK, N.A.
Type 1: dealing in securities
06 May 2004 - 21 Apr 2005
No
AA2955
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
12 Jan 2004 - 25 Apr 2004
No
AA2955
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
12 Jan 2004 - 25 Apr 2004
No
AA2955
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 18 Jan 2004
No
AA2955
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 18 Jan 2004
No
AA2955
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
01 Apr 2003 - 18 Jan 2004
No
AA2955
DBS BANK (HONG KONG) LIMITED
Type 9: asset management
01 Apr 2003 - 18 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.