Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GU, YECHEN
Chinese Name of Relevant Individual
顧燁辰
HKMA Registration Number
AG8829
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
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Sep 2015 - 01 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
02 Sep 2015 - 01 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Sep 2015 - 01 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Sep 2015 - 01 Jun 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
GU, YECHEN
:
Chinese Name of Relevant Individual
顧燁辰
:
HKMA Registration Number
AG8829
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8829
CITIBANK, N.A.
Type 1: dealing in securities
02 Sep 2015 - 01 Jun 2018
No
AG8829
CITIBANK, N.A.
Type 4: advising on securities
02 Sep 2015 - 01 Jun 2018
No
AG8829
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
02 Sep 2015 - 01 Jun 2018
No
AG8829
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
02 Sep 2015 - 01 Jun 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.