Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YIP, SHU WING
Chinese Name of Relevant Individual
葉樹榮
HKMA Registration Number
AG9736
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
First date of engagement
15 Apr 2026
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
First date of engagement
15 Apr 2026
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BNP PARIBAS
SFC CE number
AAF564
Business Address
60/F AND 63/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, 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
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 15 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
Since 15 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jun 2018 - 03 Apr 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
29 Jun 2018 - 03 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Nov 2015 - 19 Dec 2016
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
14 Nov 2015 - 19 Dec 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
YIP, SHU WING
:
Chinese Name of Relevant Individual
葉樹榮
:
HKMA Registration Number
AG9736
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BNP PARIBAS
Type 1: dealing in securities
15 Apr 2026
No
WEALTH MANAGEMENT
BNP PARIBAS
Type 4: advising on securities
15 Apr 2026
No
WEALTH MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
BNP PARIBAS
AAF564
60/F AND 63/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9736
BNP PARIBAS
Type 1: dealing in securities
Since 15 Apr 2026
No
AG9736
BNP PARIBAS
Type 4: advising on securities
Since 15 Apr 2026
No
AG9736
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
29 Jun 2018 - 03 Apr 2023
No
AG9736
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
29 Jun 2018 - 03 Apr 2023
No
AG9736
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
14 Nov 2015 - 19 Dec 2016
No
AG9736
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
14 Nov 2015 - 19 Dec 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.