Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAN, SWEE GUAN WILLY
Chinese Name of Relevant Individual
HKMA Registration Number
AG8149
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
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2016 - 04 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
01 Nov 2016 - 04 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Aug 2016 - 26 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
23 Aug 2016 - 26 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
31 May 2016 - 03 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2016 - 03 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Mar 2016 - 01 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
29 Mar 2016 - 01 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jan 2016 - 22 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jan 2016 - 22 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Nov 2015 - 13 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
10 Nov 2015 - 13 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jul 2015 - 16 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jul 2015 - 16 Jul 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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
TAN, SWEE GUAN WILLY
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG8149
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8149
BNP PARIBAS
Type 1: dealing in securities
01 Nov 2016 - 04 Nov 2016
No
AG8149
BNP PARIBAS
Type 4: advising on securities
01 Nov 2016 - 04 Nov 2016
No
AG8149
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
23 Aug 2016 - 26 Aug 2016
No
AG8149
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
23 Aug 2016 - 26 Aug 2016
No
AG8149
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
31 May 2016 - 03 Jun 2016
No
AG8149
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
31 May 2016 - 03 Jun 2016
No
AG8149
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
29 Mar 2016 - 01 Apr 2016
No
AG8149
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
29 Mar 2016 - 01 Apr 2016
No
AG8149
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
20 Jan 2016 - 22 Jan 2016
No
AG8149
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
20 Jan 2016 - 22 Jan 2016
No
AG8149
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
10 Nov 2015 - 13 Nov 2015
No
AG8149
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
10 Nov 2015 - 13 Nov 2015
No
AG8149
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
10 Jul 2015 - 16 Jul 2015
No
AG8149
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
10 Jul 2015 - 16 Jul 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.