Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAN, NI
Chinese Name of Relevant Individual
阎妮
HKMA Registration Number
AG9239
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
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 9: asset management
Effective Period
14 Feb 2018 - 26 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Oct 2015 - 26 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
07 Oct 2015 - 26 Oct 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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, NI
:
Chinese Name of Relevant Individual
阎妮
:
HKMA Registration Number
AG9239
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9239
CA INDOSUEZ (SWITZERLAND) SA
Type 9: asset management
14 Feb 2018 - 26 Oct 2018
No
AG9239
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
07 Oct 2015 - 26 Oct 2018
No
AG9239
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
07 Oct 2015 - 26 Oct 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.