Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GU, YUANMIN
Chinese Name of Relevant Individual
顧緣敏
HKMA Registration Number
AG7817
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
09 Dec 2024
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
First date of engagement
09 Dec 2024
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT
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
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
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 09 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
Since 09 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Mar 2021 - 26 Feb 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
15 Mar 2021 - 26 Feb 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
15 Mar 2021 - 26 Feb 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Aug 2017 - 10 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
15 Aug 2017 - 10 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jun 2015 - 17 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jun 2015 - 17 May 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
GU, YUANMIN
:
Chinese Name of Relevant Individual
顧緣敏
:
HKMA Registration Number
AG7817
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BNP PARIBAS
Type 1: dealing in securities
09 Dec 2024
No
WEALTH MANAGEMENT
BNP PARIBAS
Type 4: advising on securities
09 Dec 2024
No
WEALTH MANAGEMENT
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.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7817
BNP PARIBAS
Type 1: dealing in securities
Since 09 Dec 2024
No
AG7817
BNP PARIBAS
Type 4: advising on securities
Since 09 Dec 2024
No
AG7817
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
15 Mar 2021 - 26 Feb 2024
No
AG7817
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
15 Mar 2021 - 26 Feb 2024
No
AG7817
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
15 Mar 2021 - 26 Feb 2024
No
AG7817
BANK OF CHINA INTERNATIONAL LIMITED
Type 1: dealing in securities
15 Aug 2017 - 10 Sep 2017
No
AG7817
BANK OF CHINA INTERNATIONAL LIMITED
Type 4: advising on securities
15 Aug 2017 - 10 Sep 2017
No
AG7817
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Jun 2015 - 17 May 2017
No
AG7817
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Jun 2015 - 17 May 2017
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.