Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, TSZ YUEN PHILLIPS
Chinese Name of Relevant Individual
蘇子淵
HKMA Registration Number
AF1939
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 Jul 2011 - 05 Oct 2012
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 Jul 2011 - 05 Oct 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jul 2011 - 06 May 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
12 Jul 2011 - 06 May 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
SO, TSZ YUEN PHILLIPS
:
Chinese Name of Relevant Individual
蘇子淵
:
HKMA Registration Number
AF1939
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1939
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
12 Jul 2011 - 05 Oct 2012
No
AF1939
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
12 Jul 2011 - 05 Oct 2012
No
AF1939
BNP PARIBAS
Type 1: dealing in securities
12 Jul 2011 - 06 May 2012
No
AF1939
BNP PARIBAS
Type 4: advising on securities
12 Jul 2011 - 06 May 2012
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.