Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GUAN, XING
Chinese Name of Relevant Individual
關興
HKMA Registration Number
AH3277
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
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Apr 2024 - 18 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
19 Apr 2024 - 18 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Nov 2017 - 24 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
17 Nov 2017 - 24 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIXIS
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Sep 2017 - 10 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIXIS
Regulated Activity
Type 4: advising on securities
Effective Period
12 Sep 2017 - 10 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIXIS
Regulated Activity
Type 6: advising on corporate finance
Effective Period
12 Sep 2017 - 10 Nov 2017
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
21 Nov 2016 - 30 Jun 2017
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
21 Nov 2016 - 30 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
21 Nov 2016 - 30 Jun 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
GUAN, XING
:
Chinese Name of Relevant Individual
關興
:
HKMA Registration Number
AH3277
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3277
AGRICULTURAL BANK OF CHINA LIMITED
Type 1: dealing in securities
19 Apr 2024 - 18 May 2026
No
AH3277
AGRICULTURAL BANK OF CHINA LIMITED
Type 4: advising on securities
19 Apr 2024 - 18 May 2026
No
AH3277
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
17 Nov 2017 - 24 May 2023
No
AH3277
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
17 Nov 2017 - 24 May 2023
No
AH3277
NATIXIS
Type 1: dealing in securities
12 Sep 2017 - 10 Nov 2017
No
AH3277
NATIXIS
Type 4: advising on securities
12 Sep 2017 - 10 Nov 2017
No
AH3277
NATIXIS
Type 6: advising on corporate finance
12 Sep 2017 - 10 Nov 2017
No
AH3277
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
21 Nov 2016 - 30 Jun 2017
No
AH3277
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
21 Nov 2016 - 30 Jun 2017
No
AH3277
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
21 Nov 2016 - 30 Jun 2017
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.