Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
PAN, LOK PING IVY
Chinese Name of Relevant Individual
潘樂平
HKMA Registration Number
AC9031
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 WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jun 2014 - 03 Jun 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
12 Jun 2014 - 03 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
17 Jul 2012 - 07 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
02 Sep 2006 - 01 Oct 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Apr 2006 - 10 Sep 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 9: asset management
Effective Period
10 Apr 2006 - 10 Sep 2006
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
PAN, LOK PING IVY
:
Chinese Name of Relevant Individual
潘樂平
:
HKMA Registration Number
AC9031
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9031
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
12 Jun 2014 - 03 Jun 2016
No
AC9031
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
12 Jun 2014 - 03 Jun 2016
No
AC9031
ABN AMRO BANK N.V.
Type 4: advising on securities
17 Jul 2012 - 07 May 2014
No
AC9031
ABN AMRO BANK N.V.
Type 4: advising on securities
02 Sep 2006 - 01 Oct 2009
No
AC9031
ABN AMRO BANK N.V.
Type 1: dealing in securities
10 Apr 2006 - 10 Sep 2006
No
AC9031
ABN AMRO BANK N.V.
Type 9: asset management
10 Apr 2006 - 10 Sep 2006
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.