Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YANG, SHENSHEN
Chinese Name of Relevant Individual
楊申申
HKMA Registration Number
AF3305
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HUA XIA BANK CO., LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
20 Apr 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
CO-HEAD OF INVESTMENT BANKING DEPARTMENT
Remarks
Registered Institution
HUA XIA BANK CO., LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
20 Apr 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
CO-HEAD OF INVESTMENT BANKING DEPARTMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HUA XIA BANK CO., LIMITED
SFC CE number
BDQ794
Business Address
SUITES 1611-1615 ON 16/F AND THE WHOLE OF 18/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
HUA XIA BANK CO., LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 02 Sep 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HUA XIA BANK CO., LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 02 Sep 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HUA XIA BANK CO., LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Apr 2021 - 01 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HUA XIA BANK CO., LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Apr 2021 - 01 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA MINSHENG BANKING CORP., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Nov 2016 - 31 Oct 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA MINSHENG BANKING CORP., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
12 Nov 2016 - 31 Oct 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Oct 2011 - 19 Mar 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
12 Oct 2011 - 19 Mar 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Oct 2011 - 19 Mar 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
YANG, SHENSHEN
:
Chinese Name of Relevant Individual
楊申申
:
HKMA Registration Number
AF3305
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HUA XIA BANK CO., LIMITED
Type 1: dealing in securities
20 Apr 2021
Yes
CO-HEAD OF INVESTMENT BANKING DEPARTMENT
HUA XIA BANK CO., LIMITED
Type 4: advising on securities
20 Apr 2021
Yes
CO-HEAD OF INVESTMENT BANKING DEPARTMENT
Name of Registered Institution
SFC CE number
Business Address
HUA XIA BANK CO., LIMITED
BDQ794
SUITES 1611-1615 ON 16/F AND THE WHOLE OF 18/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)
AF3305
HUA XIA BANK CO., LIMITED
Type 1: dealing in securities
Since 02 Sep 2021
Yes
AF3305
HUA XIA BANK CO., LIMITED
Type 4: advising on securities
Since 02 Sep 2021
Yes
AF3305
HUA XIA BANK CO., LIMITED
Type 1: dealing in securities
20 Apr 2021 - 01 Sep 2021
No
AF3305
HUA XIA BANK CO., LIMITED
Type 4: advising on securities
20 Apr 2021 - 01 Sep 2021
No
AF3305
CHINA MINSHENG BANKING CORP., LTD.
Type 1: dealing in securities
12 Nov 2016 - 31 Oct 2020
No
AF3305
CHINA MINSHENG BANKING CORP., LTD.
Type 4: advising on securities
12 Nov 2016 - 31 Oct 2020
No
AF3305
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
12 Oct 2011 - 19 Mar 2012
No
AF3305
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 6: advising on corporate finance
12 Oct 2011 - 19 Mar 2012
No
AF3305
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
12 Oct 2011 - 19 Mar 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.