Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ZHU, LIWEN
Chinese Name of Relevant Individual
朱麗雯
HKMA Registration Number
AG3886
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
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jun 2015 - 24 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 Jun 2015 - 24 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
13 Jun 2015 - 24 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jun 2014 - 12 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
27 Jun 2014 - 12 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jun 2014 - 12 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
27 Jun 2014 - 12 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
ZHU, LIWEN
:
Chinese Name of Relevant Individual
朱麗雯
:
HKMA Registration Number
AG3886
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3886
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
13 Jun 2015 - 24 Aug 2015
No
AG3886
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
13 Jun 2015 - 24 Aug 2015
No
AG3886
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 6: advising on corporate finance
13 Jun 2015 - 24 Aug 2015
No
AG3886
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
27 Jun 2014 - 12 Mar 2015
No
AG3886
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 4: advising on securities
27 Jun 2014 - 12 Mar 2015
No
AG3886
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
27 Jun 2014 - 12 Mar 2015
No
AG3886
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 4: advising on securities
27 Jun 2014 - 12 Mar 2015
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.