Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ZHEN, NI
Chinese Name of Relevant Individual
甄旎
HKMA Registration Number
AG9649
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
05 Jan 2023
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT GROUP SPECIALIST
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
05 Jan 2023
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT GROUP SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD CENTRAL, HONG KONG.
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 05 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 05 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANQUE PICTET & CIE SA
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Aug 2021 - 30 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANQUE PICTET & CIE SA
Regulated Activity
Type 4: advising on securities
Effective Period
01 Aug 2021 - 30 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANQUE PICTET & CIE SA
Regulated Activity
Type 9: asset management
Effective Period
01 Aug 2021 - 30 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
PICTET & CIE (EUROPE) S.A.
Regulated Activity
Type 9: asset management
Effective Period
06 Jun 2018 - 30 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
PICTET & CIE (EUROPE) S.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jun 2018 - 30 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
PICTET & CIE (EUROPE) S.A.
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jun 2018 - 30 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Apr 2016 - 14 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
11 Apr 2016 - 14 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Nov 2015 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 4: advising on securities
Effective Period
05 Nov 2015 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
ZHEN, NI
:
Chinese Name of Relevant Individual
甄旎
:
HKMA Registration Number
AG9649
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
05 Jan 2023
No
INVESTMENT GROUP SPECIALIST
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Jan 2023
No
INVESTMENT GROUP SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9649
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 05 Jan 2023
No
AG9649
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 05 Jan 2023
No
AG9649
BANQUE PICTET & CIE SA
Type 1: dealing in securities
01 Aug 2021 - 30 Sep 2022
No
AG9649
BANQUE PICTET & CIE SA
Type 4: advising on securities
01 Aug 2021 - 30 Sep 2022
No
AG9649
BANQUE PICTET & CIE SA
Type 9: asset management
01 Aug 2021 - 30 Sep 2022
No
AG9649
PICTET & CIE (EUROPE) S.A.
Type 9: asset management
06 Jun 2018 - 30 Jul 2021
No
AG9649
PICTET & CIE (EUROPE) S.A.
Type 1: dealing in securities
05 Jun 2018 - 30 Jul 2021
No
AG9649
PICTET & CIE (EUROPE) S.A.
Type 4: advising on securities
05 Jun 2018 - 30 Jul 2021
No
AG9649
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
11 Apr 2016 - 14 Jun 2017
No
AG9649
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
11 Apr 2016 - 14 Jun 2017
No
AG9649
COUTTS & CO AG
Type 1: dealing in securities
05 Nov 2015 - 08 Apr 2016
No
AG9649
COUTTS & CO AG
Type 4: advising on securities
05 Nov 2015 - 08 Apr 2016
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.