Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WU, XIAOWEN
Chinese Name of Relevant Individual
吳晓文
HKMA Registration Number
AH3813
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
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jul 2022 - 11 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
28 Jul 2022 - 11 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Dec 2018 - 20 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Dec 2018 - 20 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Feb 2017 - 27 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Feb 2017 - 27 Sep 2018
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
WU, XIAOWEN
:
Chinese Name of Relevant Individual
吳晓文
:
HKMA Registration Number
AH3813
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3813
BNP PARIBAS
Type 1: dealing in securities
28 Jul 2022 - 11 Jun 2024
No
AH3813
BNP PARIBAS
Type 4: advising on securities
28 Jul 2022 - 11 Jun 2024
No
AH3813
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
21 Dec 2018 - 20 Jul 2022
No
AH3813
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
21 Dec 2018 - 20 Jul 2022
No
AH3813
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Feb 2017 - 27 Sep 2018
No
AH3813
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Feb 2017 - 27 Sep 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.