Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAO, SHEN
Chinese Name of Relevant Individual
姚申
HKMA Registration Number
AG8567
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
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Sep 2019 - 11 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
23 Sep 2019 - 11 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Aug 2015 - 07 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
13 Aug 2015 - 07 Nov 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
YAO, SHEN
:
Chinese Name of Relevant Individual
姚申
:
HKMA Registration Number
AG8567
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8567
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Type 1: dealing in securities
23 Sep 2019 - 11 Jul 2021
No
AG8567
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Type 4: advising on securities
23 Sep 2019 - 11 Jul 2021
No
AG8567
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
13 Aug 2015 - 07 Nov 2018
No
AG8567
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
13 Aug 2015 - 07 Nov 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.