Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
XU, WENYAN
Chinese Name of Relevant Individual
徐文燕
HKMA Registration Number
AF9933
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
11 May 2023
Is an Executive Officer? (Yes / No)
No
Capacity
COVERAGE, CORPORATE & INVESTMENT BANKING
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
11 May 2023
Is an Executive Officer? (Yes / No)
No
Capacity
COVERAGE, CORPORATE & INVESTMENT BANKING
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
11 May 2023
Is an Executive Officer? (Yes / No)
No
Capacity
COVERAGE, CORPORATE & INVESTMENT BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A DES VOEUX ROAD, 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 11 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 11 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
05 Aug 2022 - 10 Mar 2023
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
31 Mar 2021 - 10 Mar 2023
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
31 Mar 2021 - 10 Mar 2023
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
31 Mar 2021 - 10 Mar 2023
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
31 Mar 2021 - 10 Mar 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
30 May 2013 - 26 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
30 May 2013 - 26 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
30 May 2013 - 26 Nov 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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, WENYAN
:
Chinese Name of Relevant Individual
徐文燕
:
HKMA Registration Number
AF9933
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 May 2023
No
COVERAGE, CORPORATE & INVESTMENT BANKING
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 May 2023
No
COVERAGE, CORPORATE & INVESTMENT BANKING
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
11 May 2023
No
COVERAGE, CORPORATE & INVESTMENT BANKING
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9933
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 11 May 2023
No
AF9933
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 11 May 2023
No
AF9933
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
Since 11 May 2023
No
AF9933
CITICORP INTERNATIONAL LIMITED
Type 6: advising on corporate finance
05 Aug 2022 - 10 Mar 2023
No
AF9933
CITIBANK, N.A.
Type 1: dealing in securities
31 Mar 2021 - 10 Mar 2023
No
AF9933
CITIBANK, N.A.
Type 4: advising on securities
31 Mar 2021 - 10 Mar 2023
No
AF9933
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
31 Mar 2021 - 10 Mar 2023
No
AF9933
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
31 Mar 2021 - 10 Mar 2023
No
AF9933
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
30 May 2013 - 26 Nov 2020
No
AF9933
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
30 May 2013 - 26 Nov 2020
No
AF9933
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
30 May 2013 - 26 Nov 2020
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.