Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
PENG, MAO NAN
Chinese Name of Relevant Individual
彭茂楠
HKMA Registration Number
AC5577
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
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2016 - 03 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2016 - 03 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jan 2011 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
13 Jan 2011 - 30 Sep 2016
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
06 May 2005 - 05 Dec 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
06 May 2005 - 05 Dec 2010
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
PENG, MAO NAN
:
Chinese Name of Relevant Individual
彭茂楠
:
HKMA Registration Number
AC5577
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5577
BNP PARIBAS
Type 1: dealing in securities
30 Sep 2016 - 03 Dec 2025
No
AC5577
BNP PARIBAS
Type 4: advising on securities
30 Sep 2016 - 03 Dec 2025
No
AC5577
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
13 Jan 2011 - 30 Sep 2016
No
AC5577
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
13 Jan 2011 - 30 Sep 2016
No
AC5577
CREDIT SUISSE AG
Type 1: dealing in securities
06 May 2005 - 05 Dec 2010
No
AC5577
CREDIT SUISSE AG
Type 4: advising on securities
06 May 2005 - 05 Dec 2010
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.