Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
XIONG, YAN
Chinese Name of Relevant Individual
熊炎
HKMA Registration Number
AG0174
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
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Feb 2017 - 30 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
29 Aug 2015 - 30 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jul 2015 - 30 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
30 Jul 2013 - 28 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jun 2013 - 28 Aug 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
XIONG, YAN
:
Chinese Name of Relevant Individual
熊炎
:
HKMA Registration Number
AG0174
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0174
UBS AG
Type 1: dealing in securities
07 Feb 2017 - 30 Jul 2021
No
AG0174
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
29 Aug 2015 - 30 Dec 2016
No
AG0174
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
04 Jul 2015 - 30 Dec 2016
No
AG0174
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
30 Jul 2013 - 28 Aug 2014
No
AG0174
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
28 Jun 2013 - 28 Aug 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.