Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
XU, JIEYI
Chinese Name of Relevant Individual
徐杰夷
HKMA Registration Number
AG1144
Other HKMA Registration Number(s)
AG1077
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Sep 2021 - 21 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
27 Sep 2021 - 21 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jul 2019 - 29 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
16 Jul 2019 - 29 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Aug 2017 - 23 Apr 2019
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
08 Aug 2017 - 23 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2013 - 07 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
01 Nov 2013 - 07 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Sep 2013 - 01 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
26 Sep 2013 - 01 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Sep 2013 - 22 Sep 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
18 Sep 2013 - 22 Sep 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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, JIEYI
:
Chinese Name of Relevant Individual
徐杰夷
:
HKMA Registration Number
AG1144
:
Other HKMA Registration Number(s)
AG1077
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1144
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
27 Sep 2021 - 21 Nov 2022
No
AG1144
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
27 Sep 2021 - 21 Nov 2022
No
AG1144
BNP PARIBAS
Type 1: dealing in securities
16 Jul 2019 - 29 Jul 2021
No
AG1144
BNP PARIBAS
Type 4: advising on securities
16 Jul 2019 - 29 Jul 2021
No
AG1144
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Aug 2017 - 23 Apr 2019
No
AG1144
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Aug 2017 - 23 Apr 2019
No
AG1144
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Nov 2013 - 07 Jul 2017
No
AG1144
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Nov 2013 - 07 Jul 2017
No
AG1144
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
26 Sep 2013 - 01 Nov 2013
No
AG1144
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
26 Sep 2013 - 01 Nov 2013
No
AG1077
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
18 Sep 2013 - 22 Sep 2013
No
AG1077
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
18 Sep 2013 - 22 Sep 2013
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.