Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WANG, TAI JEN
Chinese Name of Relevant Individual
王泰人
HKMA Registration Number
AG5016
Other HKMA Registration Number(s)
AD3198
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
29 Aug 2018
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
29 Aug 2018
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
LGT BANK AG
SFC CE number
AWF529
Business Address
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, 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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 29 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 29 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2016 - 20 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2016 - 20 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Oct 2014 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
07 Oct 2014 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jul 2009 - 15 Sep 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jul 2009 - 15 Sep 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Oct 2008 - 18 Oct 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
12 Oct 2008 - 18 Oct 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
17 Sep 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Apr 2007 - 14 Oct 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
05 Apr 2007 - 14 Oct 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
WANG, TAI JEN
:
Chinese Name of Relevant Individual
王泰人
:
HKMA Registration Number
AG5016
:
Other HKMA Registration Number(s)
AD3198
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
29 Aug 2018
No
STAFF OF CLIENT ADVISOR
LGT BANK AG
Type 4: advising on securities
29 Aug 2018
No
STAFF OF CLIENT ADVISOR
Name of Registered Institution
SFC CE number
Business Address
LGT BANK AG
AWF529
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5016
LGT BANK AG
Type 1: dealing in securities
Since 29 Aug 2018
No
AG5016
LGT BANK AG
Type 4: advising on securities
Since 29 Aug 2018
No
AG5016
BNP PARIBAS
Type 1: dealing in securities
30 Sep 2016 - 20 Aug 2018
No
AG5016
BNP PARIBAS
Type 4: advising on securities
30 Sep 2016 - 20 Aug 2018
No
AG5016
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
07 Oct 2014 - 30 Sep 2016
No
AG5016
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
07 Oct 2014 - 30 Sep 2016
No
AD3198
BARCLAYS BANK PLC
Type 1: dealing in securities
08 Jul 2009 - 15 Sep 2014
No
AD3198
BARCLAYS BANK PLC
Type 4: advising on securities
08 Jul 2009 - 15 Sep 2014
No
AD3198
BARCLAYS BANK PLC
Type 1: dealing in securities
12 Oct 2008 - 18 Oct 2008
No
AD3198
BARCLAYS BANK PLC
Type 4: advising on securities
12 Oct 2008 - 18 Oct 2008
No
AD3198
BARCLAYS BANK PLC
Type 4: advising on securities
17 Sep 2008
No
AD3198
BARCLAYS BANK PLC
Type 1: dealing in securities
05 Apr 2007 - 14 Oct 2007
No
AD3198
BARCLAYS BANK PLC
Type 4: advising on securities
05 Apr 2007 - 14 Oct 2007
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.