Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
XIAO, YAOJUN
Chinese Name of Relevant Individual
肖姚俊
HKMA Registration Number
AF9742
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
20 Apr 2021 - 02 Mar 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
20 Apr 2021 - 02 Mar 2022
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
22 Mar 2018 - 08 Mar 2021
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
22 Mar 2018 - 08 Mar 2021
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
22 Mar 2018 - 08 Mar 2021
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
22 Mar 2018 - 08 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Mar 2015 - 26 Feb 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 May 2013 - 26 Feb 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
10 May 2013 - 26 Feb 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
XIAO, YAOJUN
:
Chinese Name of Relevant Individual
肖姚俊
:
HKMA Registration Number
AF9742
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9742
BNP PARIBAS
Type 1: dealing in securities
20 Apr 2021 - 02 Mar 2022
No
AF9742
BNP PARIBAS
Type 4: advising on securities
20 Apr 2021 - 02 Mar 2022
No
AF9742
CITIBANK, N.A.
Type 1: dealing in securities
22 Mar 2018 - 08 Mar 2021
No
AF9742
CITIBANK, N.A.
Type 4: advising on securities
22 Mar 2018 - 08 Mar 2021
No
AF9742
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
22 Mar 2018 - 08 Mar 2021
No
AF9742
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
22 Mar 2018 - 08 Mar 2021
No
AF9742
BANK OF CHINA INTERNATIONAL LIMITED
Type 4: advising on securities
07 Mar 2015 - 26 Feb 2017
No
AF9742
BANK OF CHINA INTERNATIONAL LIMITED
Type 1: dealing in securities
10 May 2013 - 26 Feb 2017
No
AF9742
BANK OF CHINA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
10 May 2013 - 26 Feb 2017
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.