Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HUI, SUM YUET BARBARA
Chinese Name of Relevant Individual
許心悅
HKMA Registration Number
AC9531
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
First date of engagement
23 Nov 2017
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
First date of engagement
23 Nov 2017
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BNP PARIBAS
SFC CE number
AAF564
Business Address
60/F AND 63/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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
Since 23 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
Since 23 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jul 2015 - 13 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
17 Jul 2015 - 13 Nov 2017
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
21 May 2012 - 15 Jun 2015
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
21 May 2012 - 15 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FORTIS BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Aug 2008 - 16 Jul 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FORTIS BANK
Regulated Activity
Type 4: advising on securities
Effective Period
06 Aug 2008 - 16 Jul 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS PRIVATE BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Nov 2007 - 12 May 2008
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
16 Oct 2006 - 26 Feb 2007
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
16 Oct 2006 - 26 Feb 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
30 May 2006 - 21 Sep 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 May 2006 - 21 Sep 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
30 May 2006 - 31 May 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
30 May 2006 - 31 May 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
HUI, SUM YUET BARBARA
:
Chinese Name of Relevant Individual
許心悅
:
HKMA Registration Number
AC9531
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BNP PARIBAS
Type 1: dealing in securities
23 Nov 2017
No
WEALTH MANAGEMENT
BNP PARIBAS
Type 4: advising on securities
23 Nov 2017
No
WEALTH MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
BNP PARIBAS
AAF564
60/F AND 63/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9531
BNP PARIBAS
Type 1: dealing in securities
Since 23 Nov 2017
No
AC9531
BNP PARIBAS
Type 4: advising on securities
Since 23 Nov 2017
No
AC9531
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
17 Jul 2015 - 13 Nov 2017
No
AC9531
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
17 Jul 2015 - 13 Nov 2017
No
AC9531
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
21 May 2012 - 15 Jun 2015
No
AC9531
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
21 May 2012 - 15 Jun 2015
No
AC9531
FORTIS BANK
Type 1: dealing in securities
06 Aug 2008 - 16 Jul 2010
No
AC9531
FORTIS BANK
Type 4: advising on securities
06 Aug 2008 - 16 Jul 2010
No
AC9531
BNP PARIBAS PRIVATE BANK
Type 1: dealing in securities
21 Nov 2007 - 12 May 2008
No
AC9531
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Oct 2006 - 26 Feb 2007
No
AC9531
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Oct 2006 - 26 Feb 2007
No
AC9531
CITIBANK, N.A.
Type 1: dealing in securities
30 May 2006 - 21 Sep 2006
No
AC9531
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
30 May 2006 - 21 Sep 2006
No
AC9531
CITIBANK, N.A.
Type 4: advising on securities
30 May 2006 - 31 May 2006
No
AC9531
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
30 May 2006 - 31 May 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.