Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, WEN
Chinese Name of Relevant Individual
劉雯
HKMA Registration Number
AF3649
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
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2016 - 08 Jun 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
30 Sep 2016 - 08 Jun 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
05 Jul 2013 - 30 Sep 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
05 Jul 2013 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Nov 2011 - 30 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Nov 2011 - 30 May 2013
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
LIU, WEN
:
Chinese Name of Relevant Individual
劉雯
:
HKMA Registration Number
AF3649
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3649
BNP PARIBAS
Type 1: dealing in securities
30 Sep 2016 - 08 Jun 2017
No
AF3649
BNP PARIBAS
Type 4: advising on securities
30 Sep 2016 - 08 Jun 2017
No
AF3649
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
05 Jul 2013 - 30 Sep 2016
No
AF3649
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
05 Jul 2013 - 30 Sep 2016
No
AF3649
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Nov 2011 - 30 May 2013
No
AF3649
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Nov 2011 - 30 May 2013
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.