Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NGUI, AI LEEN
Chinese Name of Relevant Individual
HKMA Registration Number
AF5649
Other HKMA Registration Number(s)
AE6685
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
01 Aug 2023
Is an Executive Officer? (Yes / No)
No
Capacity
CORPORATE AND INSTITUTIONAL BANKING
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 01 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Feb 2023 - 10 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2022 - 04 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Oct 2022 - 14 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jan 2020 - 17 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Nov 2019 - 29 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Oct 2019 - 18 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Aug 2019 - 13 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jul 2019 - 16 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jun 2019 - 30 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
06 May 2019 - 14 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Apr 2019 - 12 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Feb 2019 - 24 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jan 2019 - 18 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Nov 2018 - 16 Nov 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 44
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
NGUI, AI LEEN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF5649
:
Other HKMA Registration Number(s)
AE6685
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BNP PARIBAS
Type 1: dealing in securities
01 Aug 2023
No
CORPORATE AND INSTITUTIONAL BANKING
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)
AF5649
BNP PARIBAS
Type 1: dealing in securities
Since 01 Aug 2023
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
06 Feb 2023 - 10 Feb 2023
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
01 Nov 2022 - 04 Nov 2022
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
03 Oct 2022 - 14 Oct 2022
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
10 Jan 2020 - 17 Jan 2020
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
22 Nov 2019 - 29 Nov 2019
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
11 Oct 2019 - 18 Oct 2019
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
30 Aug 2019 - 13 Sep 2019
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
12 Jul 2019 - 16 Jul 2019
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
21 Jun 2019 - 30 Jun 2019
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
06 May 2019 - 14 May 2019
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
04 Apr 2019 - 12 Apr 2019
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
15 Feb 2019 - 24 Feb 2019
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
14 Jan 2019 - 18 Jan 2019
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
09 Nov 2018 - 16 Nov 2018
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
19 Oct 2018 - 28 Oct 2018
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
24 Aug 2018 - 31 Aug 2018
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
01 Jun 2018 - 08 Jun 2018
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
20 Apr 2018 - 27 Apr 2018
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
09 Mar 2018 - 16 Mar 2018
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
16 Jan 2018 - 19 Jan 2018
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
06 Dec 2017 - 08 Dec 2017
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
08 Sep 2017 - 15 Sep 2017
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
21 Jul 2017 - 28 Jul 2017
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
24 Apr 2017 - 28 Apr 2017
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
20 Mar 2017 - 24 Mar 2017
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
10 Jan 2017 - 13 Jan 2017
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
21 Oct 2016 - 28 Oct 2016
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
06 Jul 2016 - 08 Jul 2016
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
08 Apr 2016 - 15 Apr 2016
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
13 Jan 2016 - 15 Jan 2016
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
11 Sep 2015 - 17 Sep 2015
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
17 Jul 2015 - 24 Jul 2015
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
13 Apr 2015 - 17 Apr 2015
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
28 Oct 2014 - 31 Oct 2014
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
22 Aug 2014 - 27 Aug 2014
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
20 Jun 2014 - 27 Jun 2014
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
11 Mar 2014 - 14 Mar 2014
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
06 Sep 2013 - 11 Sep 2013
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
29 Jan 2013 - 01 Feb 2013
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
19 Oct 2012 - 26 Oct 2012
No
AF5649
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
16 Apr 2012 - 31 May 2012
No
AE6685
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
15 Jul 2011 - 22 Jul 2011
No
AE6685
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
04 Jun 2010 - 09 Jun 2010
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.