Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FAN, HAO
Chinese Name of Relevant Individual
樊皓
HKMA Registration Number
AG7392
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
18 Dec 2017
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR, SUSTAINABLE FINANCE, INSTITUTIONAL
Remarks
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
18 Dec 2017
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR, SUSTAINABLE FINANCE, INSTITUTIONAL
Remarks
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
18 Dec 2017
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR, SUSTAINABLE FINANCE, INSTITUTIONAL
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
SFC CE number
AAL483
Business Address
20/F-22/F, THREE EXCHANGE SQUARE, 8 CONNAUGHT PLACE, CENTRAL, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Effective Date
29 Apr 2022
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
2
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Effective Date
29 Apr 2022
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
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
Since 29 Apr 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 29 Apr 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 29 Apr 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Dec 2017 - 28 Apr 2022
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
18 Dec 2017 - 28 Apr 2022
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
18 Dec 2017 - 28 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Apr 2015 - 13 Jan 2017
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
29 Apr 2015 - 13 Jan 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Apr 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
24 Apr 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
FAN, HAO
:
Chinese Name of Relevant Individual
樊皓
:
HKMA Registration Number
AG7392
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
18 Dec 2017
Yes
EXECUTIVE DIRECTOR, SUSTAINABLE FINANCE, INSTITUTIONAL
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
18 Dec 2017
Yes
EXECUTIVE DIRECTOR, SUSTAINABLE FINANCE, INSTITUTIONAL
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 6: advising on corporate finance
18 Dec 2017
Yes
EXECUTIVE DIRECTOR, SUSTAINABLE FINANCE, INSTITUTIONAL
Name of Registered Institution
SFC CE number
Business Address
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
AAL483
20/F-22/F, THREE EXCHANGE SQUARE, 8 CONNAUGHT PLACE, CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
1
29 Apr 2022
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
2
29 Apr 2022
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7392
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
Since 29 Apr 2022
Yes
AG7392
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
Since 29 Apr 2022
Yes
AG7392
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 6: advising on corporate finance
Since 29 Apr 2022
Yes
AG7392
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
18 Dec 2017 - 28 Apr 2022
No
AG7392
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
18 Dec 2017 - 28 Apr 2022
No
AG7392
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 6: advising on corporate finance
18 Dec 2017 - 28 Apr 2022
No
AG7392
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
29 Apr 2015 - 13 Jan 2017
No
AG7392
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
29 Apr 2015 - 13 Jan 2017
No
AG7392
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
24 Apr 2015
No
AG7392
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
24 Apr 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.