Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
XU, NAN
Chinese Name of Relevant Individual
徐楠
HKMA Registration Number
AF6291
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
05 Nov 2024
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF ADVISORY SOLUTIONS
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
05 Nov 2024
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF ADVISORY SOLUTIONS
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
05 Nov 2024
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF ADVISORY SOLUTIONS
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
05 Nov 2024
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF ADVISORY SOLUTIONS
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
LGT BANK AG
SFC CE number
AWF529
Business Address
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, 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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 05 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
Since 05 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 05 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
Since 05 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
21 May 2021 - 13 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
21 May 2021 - 13 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 May 2021 - 13 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 May 2021 - 13 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 May 2018 - 18 Aug 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
19 Jun 2012 - 02 Sep 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
XU, NAN
:
Chinese Name of Relevant Individual
徐楠
:
HKMA Registration Number
AF6291
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
05 Nov 2024
No
STAFF OF ADVISORY SOLUTIONS
LGT BANK AG
Type 2: dealing in futures contracts
05 Nov 2024
No
STAFF OF ADVISORY SOLUTIONS
LGT BANK AG
Type 4: advising on securities
05 Nov 2024
No
STAFF OF ADVISORY SOLUTIONS
LGT BANK AG
Type 5: advising on futures contracts
05 Nov 2024
No
STAFF OF ADVISORY SOLUTIONS
Name of Registered Institution
SFC CE number
Business Address
LGT BANK AG
AWF529
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6291
LGT BANK AG
Type 1: dealing in securities
Since 05 Nov 2024
No
AF6291
LGT BANK AG
Type 2: dealing in futures contracts
Since 05 Nov 2024
No
AF6291
LGT BANK AG
Type 4: advising on securities
Since 05 Nov 2024
No
AF6291
LGT BANK AG
Type 5: advising on futures contracts
Since 05 Nov 2024
No
AF6291
CITIBANK, N.A.
Type 1: dealing in securities
21 May 2021 - 13 May 2022
No
AF6291
CITIBANK, N.A.
Type 4: advising on securities
21 May 2021 - 13 May 2022
No
AF6291
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
21 May 2021 - 13 May 2022
No
AF6291
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
21 May 2021 - 13 May 2022
No
AF6291
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
14 May 2018 - 18 Aug 2020
No
AF6291
BARCLAYS BANK PLC
Type 4: advising on securities
19 Jun 2012 - 02 Sep 2014
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.