Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHI, XIAOTING
Chinese Name of Relevant Individual
施晓廷
HKMA Registration Number
AF5698
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
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Sep 2024 - 05 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Sep 2024 - 06 Apr 2025
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
08 Aug 2018 - 20 Sep 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
08 Aug 2018 - 20 Sep 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS SECURITIES SERVICES
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Apr 2012 - 22 Feb 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
SHI, XIAOTING
:
Chinese Name of Relevant Individual
施晓廷
:
HKMA Registration Number
AF5698
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF5698
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
21 Sep 2024 - 05 Jul 2025
No
AF5698
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
21 Sep 2024 - 06 Apr 2025
No
AF5698
CHINA MINSHENG BANKING CORP., LTD.
Type 1: dealing in securities
08 Aug 2018 - 20 Sep 2020
No
AF5698
CHINA MINSHENG BANKING CORP., LTD.
Type 4: advising on securities
08 Aug 2018 - 20 Sep 2020
No
AF5698
BNP PARIBAS SECURITIES SERVICES
Type 1: dealing in securities
20 Apr 2012 - 22 Feb 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.