Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GAO, YAN
Chinese Name of Relevant Individual
高岩
HKMA Registration Number
AG7744
Other HKMA Registration Number(s)
AE8216
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANCO SANTANDER, S.A.
Regulated Activity
Type 1: dealing in securities
First date of engagement
06 Sep 2018
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, GLOBAL MARKETS
Remarks
Registered Institution
BANCO SANTANDER, S.A.
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Sep 2018
Is an Executive Officer? (Yes / No)
No
Capacity
SALES, GLOBAL MARKETS
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANCO SANTANDER, S.A.
SFC CE number
AAK788
Business Address
LEVEL 28, PING AN TOWER, INTERNATIONAL GATEWAY CENTRE, 1 WUI MAN ROAD, KOWLOON
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
BANCO SANTANDER, S.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 06 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANCO SANTANDER, S.A.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 06 Sep 2018
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
02 Jun 2015 - 11 Jul 2018
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
02 Jun 2015 - 11 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Sep 2010 - 13 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Sep 2010 - 13 Apr 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
GAO, YAN
:
Chinese Name of Relevant Individual
高岩
:
HKMA Registration Number
AG7744
:
Other HKMA Registration Number(s)
AE8216
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANCO SANTANDER, S.A.
Type 1: dealing in securities
06 Sep 2018
No
SALES, GLOBAL MARKETS
BANCO SANTANDER, S.A.
Type 4: advising on securities
06 Sep 2018
No
SALES, GLOBAL MARKETS
Name of Registered Institution
SFC CE number
Business Address
BANCO SANTANDER, S.A.
AAK788
LEVEL 28, PING AN TOWER, INTERNATIONAL GATEWAY CENTRE, 1 WUI MAN ROAD, KOWLOON
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7744
BANCO SANTANDER, S.A.
Type 1: dealing in securities
Since 06 Sep 2018
No
AG7744
BANCO SANTANDER, S.A.
Type 4: advising on securities
Since 06 Sep 2018
No
AG7744
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
02 Jun 2015 - 11 Jul 2018
No
AG7744
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
02 Jun 2015 - 11 Jul 2018
No
AE8216
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
25 Sep 2010 - 13 Apr 2015
No
AE8216
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
25 Sep 2010 - 13 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.