Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAN, YINGXIU
Chinese Name of Relevant Individual
嚴穎秀
HKMA Registration Number
AG8317
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
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Aug 2019 - 30 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 4: advising on securities
Effective Period
14 Aug 2019 - 30 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jul 2015 - 31 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 4: advising on securities
Effective Period
26 Jul 2015 - 31 Dec 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
YAN, YINGXIU
:
Chinese Name of Relevant Individual
嚴穎秀
:
HKMA Registration Number
AG8317
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8317
COMMONWEALTH BANK OF AUSTRALIA
Type 1: dealing in securities
14 Aug 2019 - 30 Jun 2020
No
AG8317
COMMONWEALTH BANK OF AUSTRALIA
Type 4: advising on securities
14 Aug 2019 - 30 Jun 2020
No
AG8317
COMMONWEALTH BANK OF AUSTRALIA
Type 1: dealing in securities
26 Jul 2015 - 31 Dec 2018
No
AG8317
COMMONWEALTH BANK OF AUSTRALIA
Type 4: advising on securities
26 Jul 2015 - 31 Dec 2018
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.