Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHAN, XIAOYUE
Chinese Name of Relevant Individual
单筱玥
HKMA Registration Number
AH6377
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
First date of engagement
19 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
SALES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
SOCIETE GENERALE
SFC CE number
AAL252
Business Address
LEVEL 38, THREE PACIFIC PLACE, 1 QUEEN'S ROAD EAST, 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
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 19 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Dec 2024 - 20 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 May 2019 - 18 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
13 May 2019 - 18 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Nov 2018 - 15 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
08 Nov 2018 - 15 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jun 2018 - 06 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
28 Jun 2018 - 06 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Nov 2017 - 22 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
16 Nov 2017 - 22 Nov 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
SHAN, XIAOYUE
:
Chinese Name of Relevant Individual
单筱玥
:
HKMA Registration Number
AH6377
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
SOCIETE GENERALE
Type 1: dealing in securities
19 Aug 2025
No
SALES
Name of Registered Institution
SFC CE number
Business Address
SOCIETE GENERALE
AAL252
LEVEL 38, THREE PACIFIC PLACE, 1 QUEEN'S ROAD EAST, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH6377
SOCIETE GENERALE
Type 1: dealing in securities
Since 19 Aug 2025
No
AH6377
SOCIETE GENERALE
Type 1: dealing in securities
21 Dec 2024 - 20 Jun 2025
No
AH6377
UBS AG
Type 1: dealing in securities
13 May 2019 - 18 May 2019
No
AH6377
UBS AG
Type 4: advising on securities
13 May 2019 - 18 May 2019
No
AH6377
UBS AG
Type 1: dealing in securities
08 Nov 2018 - 15 Nov 2018
No
AH6377
UBS AG
Type 4: advising on securities
08 Nov 2018 - 15 Nov 2018
No
AH6377
UBS AG
Type 1: dealing in securities
28 Jun 2018 - 06 Jul 2018
No
AH6377
UBS AG
Type 4: advising on securities
28 Jun 2018 - 06 Jul 2018
No
AH6377
UBS AG
Type 1: dealing in securities
16 Nov 2017 - 22 Nov 2017
No
AH6377
UBS AG
Type 4: advising on securities
16 Nov 2017 - 22 Nov 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.