Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NIU, TIAN
Chinese Name of Relevant Individual
牛恬
HKMA Registration Number
AG8494
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
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jul 2017 - 15 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Aug 2015 - 15 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
08 Aug 2015 - 15 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
08 Aug 2015 - 15 Mar 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
NIU, TIAN
:
Chinese Name of Relevant Individual
牛恬
:
HKMA Registration Number
AG8494
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8494
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
05 Jul 2017 - 15 Mar 2018
No
AG8494
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
08 Aug 2015 - 15 Mar 2018
No
AG8494
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
08 Aug 2015 - 15 Mar 2018
No
AG8494
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
08 Aug 2015 - 15 Mar 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.