Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
PENG, ANN
Chinese Name of Relevant Individual
彭安
HKMA Registration Number
AF7941
Other HKMA Registration Number(s)
AD9764
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
30 Sep 2016
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
First date of engagement
30 Sep 2016
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT
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 30 Sep 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
Since 30 Sep 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
26 Feb 2016 - 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
26 Feb 2016 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Oct 2012 - 07 Jan 2016
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
27 Oct 2012 - 07 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jul 2009 - 28 Oct 2012
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
14 Jul 2009 - 28 Oct 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jan 2009 - 05 Jul 2009
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
06 Jan 2009 - 05 Jul 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Dec 2008 - 19 Dec 2008
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
01 Dec 2008 - 19 Dec 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Nov 2008 - 14 Nov 2008
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
11 Nov 2008 - 14 Nov 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Aug 2008 - 13 Sep 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 18
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
PENG, ANN
:
Chinese Name of Relevant Individual
彭安
:
HKMA Registration Number
AF7941
:
Other HKMA Registration Number(s)
AD9764
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BNP PARIBAS
Type 1: dealing in securities
30 Sep 2016
No
WEALTH MANAGEMENT
BNP PARIBAS
Type 4: advising on securities
30 Sep 2016
No
WEALTH MANAGEMENT
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)
AF7941
BNP PARIBAS
Type 1: dealing in securities
Since 30 Sep 2016
No
AF7941
BNP PARIBAS
Type 4: advising on securities
Since 30 Sep 2016
No
AF7941
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
26 Feb 2016 - 30 Sep 2016
No
AF7941
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
26 Feb 2016 - 30 Sep 2016
No
AF7941
BARCLAYS BANK PLC
Type 1: dealing in securities
27 Oct 2012 - 07 Jan 2016
No
AF7941
BARCLAYS BANK PLC
Type 4: advising on securities
27 Oct 2012 - 07 Jan 2016
No
AD9764
BARCLAYS BANK PLC
Type 1: dealing in securities
14 Jul 2009 - 28 Oct 2012
No
AD9764
BARCLAYS BANK PLC
Type 4: advising on securities
14 Jul 2009 - 28 Oct 2012
No
AD9764
BARCLAYS BANK PLC
Type 1: dealing in securities
06 Jan 2009 - 05 Jul 2009
No
AD9764
BARCLAYS BANK PLC
Type 4: advising on securities
06 Jan 2009 - 05 Jul 2009
No
AD9764
BARCLAYS BANK PLC
Type 1: dealing in securities
01 Dec 2008 - 19 Dec 2008
No
AD9764
BARCLAYS BANK PLC
Type 4: advising on securities
01 Dec 2008 - 19 Dec 2008
No
AD9764
BARCLAYS BANK PLC
Type 1: dealing in securities
11 Nov 2008 - 14 Nov 2008
No
AD9764
BARCLAYS BANK PLC
Type 4: advising on securities
11 Nov 2008 - 14 Nov 2008
No
AD9764
BARCLAYS BANK PLC
Type 1: dealing in securities
26 Aug 2008 - 13 Sep 2008
No
AD9764
BARCLAYS BANK PLC
Type 4: advising on securities
26 Aug 2008 - 13 Sep 2008
No
AD9764
BARCLAYS BANK PLC
Type 1: dealing in securities
14 Jul 2008 - 25 Jul 2008
No
AD9764
BARCLAYS BANK PLC
Type 4: advising on securities
14 Jul 2008 - 25 Jul 2008
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.