Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YIN, LIWEN
Chinese Name of Relevant Individual
尹李雯
HKMA Registration Number
AG1085
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
18 Dec 2018 - 18 Feb 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Nov 2015 - 23 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
25 Nov 2015 - 30 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
25 Nov 2015 - 30 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2014 - 20 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Sep 2013 - 13 Jun 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 4: advising on securities
Effective Period
19 Sep 2013 - 13 Jun 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 6: advising on corporate finance
Effective Period
19 Sep 2013 - 13 Jun 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
YIN, LIWEN
:
Chinese Name of Relevant Individual
尹李雯
:
HKMA Registration Number
AG1085
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1085
BNP PARIBAS
Type 1: dealing in securities
18 Dec 2018 - 18 Feb 2022
No
AG1085
UBS AG
Type 1: dealing in securities
25 Nov 2015 - 23 Jul 2018
No
AG1085
UBS AG
Type 4: advising on securities
25 Nov 2015 - 30 Jun 2018
No
AG1085
UBS AG
Type 6: advising on corporate finance
25 Nov 2015 - 30 Jun 2018
No
AG1085
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
01 Sep 2014 - 20 Oct 2015
No
AG1085
SOCIETE GENERALE
Type 1: dealing in securities
19 Sep 2013 - 13 Jun 2014
No
AG1085
SOCIETE GENERALE
Type 4: advising on securities
19 Sep 2013 - 13 Jun 2014
No
AG1085
SOCIETE GENERALE
Type 6: advising on corporate finance
19 Sep 2013 - 13 Jun 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.