Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAN, XIAOWEN
Chinese Name of Relevant Individual
譚晓雯
HKMA Registration Number
AF4549
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
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jul 2018 - 13 Sep 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
13 Jul 2018 - 13 Sep 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Dec 2016 - 27 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
20 Dec 2016 - 27 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Apr 2014 - 25 Nov 2016
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
07 Jan 2014 - 03 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jan 2012 - 31 Dec 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jan 2012 - 31 Dec 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
TAN, XIAOWEN
:
Chinese Name of Relevant Individual
譚晓雯
:
HKMA Registration Number
AF4549
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4549
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
13 Jul 2018 - 13 Sep 2020
No
AF4549
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
13 Jul 2018 - 13 Sep 2020
No
AF4549
BNP PARIBAS
Type 1: dealing in securities
20 Dec 2016 - 27 Jun 2018
No
AF4549
BNP PARIBAS
Type 4: advising on securities
20 Dec 2016 - 27 Jun 2018
No
AF4549
UBS AG
Type 1: dealing in securities
05 Apr 2014 - 25 Nov 2016
No
AF4549
ABN AMRO BANK N.V.
Type 1: dealing in securities
07 Jan 2014 - 03 Mar 2014
No
AF4549
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
20 Jan 2012 - 31 Dec 2013
No
AF4549
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
20 Jan 2012 - 31 Dec 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.