Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NIE, RUI
Chinese Name of Relevant Individual
聶睿
HKMA Registration Number
AC5968
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jun 2005 - 15 Jun 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jun 2005 - 15 Jun 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
22 Jun 2005 - 15 Jun 2009
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
NIE, RUI
:
Chinese Name of Relevant Individual
聶睿
:
HKMA Registration Number
AC5968
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5968
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
22 Jun 2005 - 15 Jun 2009
No
AC5968
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
22 Jun 2005 - 15 Jun 2009
No
AC5968
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
22 Jun 2005 - 15 Jun 2009
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.