Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
XIAO, HAN
Chinese Name of Relevant Individual
肖涵
HKMA Registration Number
AH5259
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
18 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
CORPORATE AND INSTITUTIONAL BANKING
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 18 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Nov 2022 - 07 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Nov 2022 - 07 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
13 Jul 2020 - 15 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Oct 2018 - 15 Aug 2022
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
22 Jul 2017 - 01 Oct 2018
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
22 Jul 2017 - 01 Oct 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
XIAO, HAN
:
Chinese Name of Relevant Individual
肖涵
:
HKMA Registration Number
AH5259
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BNP PARIBAS
Type 1: dealing in securities
18 Aug 2025
No
CORPORATE AND INSTITUTIONAL BANKING
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)
AH5259
BNP PARIBAS
Type 1: dealing in securities
Since 18 Aug 2025
No
AH5259
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
14 Nov 2022 - 07 Jul 2025
No
AH5259
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
14 Nov 2022 - 07 Jul 2025
No
AH5259
ROYAL BANK OF CANADA
Type 2: dealing in futures contracts
13 Jul 2020 - 15 Aug 2022
No
AH5259
ROYAL BANK OF CANADA
Type 1: dealing in securities
09 Oct 2018 - 15 Aug 2022
No
AH5259
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
22 Jul 2017 - 01 Oct 2018
No
AH5259
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
22 Jul 2017 - 01 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.