Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LU, YIWEN
Chinese Name of Relevant Individual
陸懿雯
HKMA Registration Number
AF7112
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 - 20 Oct 2016
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 - 20 Oct 2016
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
20 May 2015 - 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
20 May 2015 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Aug 2012 - 24 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
31 Aug 2012 - 24 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
31 Aug 2012 - 24 Apr 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
LU, YIWEN
:
Chinese Name of Relevant Individual
陸懿雯
:
HKMA Registration Number
AF7112
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7112
BNP PARIBAS
Type 1: dealing in securities
30 Sep 2016 - 20 Oct 2016
No
AF7112
BNP PARIBAS
Type 4: advising on securities
30 Sep 2016 - 20 Oct 2016
No
AF7112
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
20 May 2015 - 30 Sep 2016
No
AF7112
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
20 May 2015 - 30 Sep 2016
No
AF7112
HANG SENG BANK, LIMITED
Type 1: dealing in securities
31 Aug 2012 - 24 Apr 2015
No
AF7112
HANG SENG BANK, LIMITED
Type 4: advising on securities
31 Aug 2012 - 24 Apr 2015
No
AF7112
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
31 Aug 2012 - 24 Apr 2015
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.