Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIN, XIAO XIAO
Chinese Name of Relevant Individual
林瀟瀟
HKMA Registration Number
AG5339
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
WELLS FARGO BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Dec 2015 - 22 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WELLS FARGO BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
02 Dec 2015 - 22 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WELLS FARGO BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
02 Dec 2015 - 22 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Oct 2014 - 06 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
31 Oct 2014 - 06 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
31 Oct 2014 - 06 Nov 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
LIN, XIAO XIAO
:
Chinese Name of Relevant Individual
林瀟瀟
:
HKMA Registration Number
AG5339
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5339
WELLS FARGO BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
02 Dec 2015 - 22 Apr 2016
No
AG5339
WELLS FARGO BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
02 Dec 2015 - 22 Apr 2016
No
AG5339
WELLS FARGO BANK, NATIONAL ASSOCIATION
Type 9: asset management
02 Dec 2015 - 22 Apr 2016
No
AG5339
HANG SENG BANK, LIMITED
Type 1: dealing in securities
31 Oct 2014 - 06 Nov 2015
No
AG5339
HANG SENG BANK, LIMITED
Type 4: advising on securities
31 Oct 2014 - 06 Nov 2015
No
AG5339
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
31 Oct 2014 - 06 Nov 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.