Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ZHAO, YAN
Chinese Name of Relevant Individual
趙艷
HKMA Registration Number
AG3685
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
22 Oct 2019
Is an Executive Officer? (Yes / No)
Yes
Capacity
GENERAL MANAGER & HEAD OF MARKETING
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Sep 2024
Is an Executive Officer? (Yes / No)
Yes
Capacity
GENERAL MANAGER & HEAD OF MARKETING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
SFC CE number
AAF138
Business Address
61-65, 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
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 10 Jul 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 03 Jun 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Sep 2024 - 09 Jul 2025
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
22 Oct 2019 - 02 Jun 2021
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
11 Jun 2014 - 06 Mar 2018
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
11 Jun 2014 - 06 Mar 2018
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
11 Jun 2014 - 06 Mar 2018
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
11 Jun 2014 - 06 Mar 2018
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
ZHAO, YAN
:
Chinese Name of Relevant Individual
趙艷
:
HKMA Registration Number
AG3685
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
22 Oct 2019
Yes
GENERAL MANAGER & HEAD OF MARKETING
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
11 Sep 2024
Yes
GENERAL MANAGER & HEAD OF MARKETING
Name of Registered Institution
SFC CE number
Business Address
CHINA CITIC BANK INTERNATIONAL LIMITED
AAF138
61-65, DES VOEUX ROAD CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3685
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
Since 10 Jul 2025
Yes
AG3685
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 03 Jun 2021
Yes
AG3685
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
11 Sep 2024 - 09 Jul 2025
No
AG3685
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
22 Oct 2019 - 02 Jun 2021
No
AG3685
CITIBANK, N.A.
Type 1: dealing in securities
11 Jun 2014 - 06 Mar 2018
No
AG3685
CITIBANK, N.A.
Type 4: advising on securities
11 Jun 2014 - 06 Mar 2018
No
AG3685
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
11 Jun 2014 - 06 Mar 2018
No
AG3685
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
11 Jun 2014 - 06 Mar 2018
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.