Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LY, LAURE, HELENE
Chinese Name of Relevant Individual
HKMA Registration Number
AG5329
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
First date of engagement
01 Oct 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF HONG KONG SECURITIES SERVICES
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 13: providing depositary services for relevant CISs
First date of engagement
28 Nov 2024
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF HONG KONG SECURITIES SERVICES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BNP PARIBAS
SFC CE number
AAF564
Business Address
60/F AND 63/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
BNP PARIBAS
Effective Date
30 Apr 2025
Description
For Type 13 regulated activity, the Executive Officer shall, when actively participating in or when directly supervising the business of such activity, do so under the advice of another Executive Officer of BNP PARIBAS not subject to a similar condition.
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 13: providing depositary services for relevant CISs
Effective Period
Since 30 Apr 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 07 Oct 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 13: providing depositary services for relevant CISs
Effective Period
28 Nov 2024 - 29 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Oct 2022 - 06 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS SECURITIES SERVICES
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Oct 2014 - 30 Sep 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
LY, LAURE, HELENE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG5329
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BNP PARIBAS
Type 1: dealing in securities
01 Oct 2022
Yes
HEAD OF HONG KONG SECURITIES SERVICES
BNP PARIBAS
Type 13: providing depositary services for relevant CISs
28 Nov 2024
Yes
HEAD OF HONG KONG SECURITIES SERVICES
Name of Registered Institution
SFC CE number
Business Address
BNP PARIBAS
AAF564
60/F AND 63/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
BNP PARIBAS
1
30 Apr 2025
For Type 13 regulated activity, the Executive Officer shall, when actively participating in or when directly supervising the business of such activity, do so under the advice of another Executive Officer of BNP PARIBAS not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5329
BNP PARIBAS
Type 13: providing depositary services for relevant CISs
Since 30 Apr 2025
Yes
AG5329
BNP PARIBAS
Type 1: dealing in securities
Since 07 Oct 2024
Yes
AG5329
BNP PARIBAS
Type 13: providing depositary services for relevant CISs
28 Nov 2024 - 29 Apr 2025
No
AG5329
BNP PARIBAS
Type 1: dealing in securities
01 Oct 2022 - 06 Oct 2024
No
AG5329
BNP PARIBAS SECURITIES SERVICES
Type 1: dealing in securities
30 Oct 2014 - 30 Sep 2022
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.