Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SUN, YAN
Chinese Name of Relevant Individual
孫妍
HKMA Registration Number
AH8466
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
NATIXIS
Regulated Activity
Type 1: dealing in securities
First date of engagement
10 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR, GLOBAL SECURITIES FINANCING, ASIA PACIFIC
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
NATIXIS
SFC CE number
AGJ912
Business Address
LEVEL 72, UNITS 7101-7103A, 7105-7107A, 7108, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
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
NATIXIS
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 10 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Dec 2018 - 15 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
01 Dec 2018 - 15 Jan 2021
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 Jul 2018 - 15 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
14 Jul 2018 - 15 Jan 2021
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 Jul 2018 - 15 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 5: advising on futures contracts
Effective Period
14 Jul 2018 - 15 Jan 2021
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
SUN, YAN
:
Chinese Name of Relevant Individual
孫妍
:
HKMA Registration Number
AH8466
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
NATIXIS
Type 1: dealing in securities
10 Aug 2024
No
DIRECTOR, GLOBAL SECURITIES FINANCING, ASIA PACIFIC
Name of Registered Institution
SFC CE number
Business Address
NATIXIS
AGJ912
LEVEL 72, UNITS 7101-7103A, 7105-7107A, 7108, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH8466
NATIXIS
Type 1: dealing in securities
Since 10 Aug 2024
No
AH8466
HSBC BANK PLC
Type 1: dealing in securities
01 Dec 2018 - 15 Jan 2021
No
AH8466
HSBC BANK PLC
Type 4: advising on securities
01 Dec 2018 - 15 Jan 2021
No
AH8466
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
14 Jul 2018 - 15 Jan 2021
No
AH8466
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 2: dealing in futures contracts
14 Jul 2018 - 15 Jan 2021
No
AH8466
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
14 Jul 2018 - 15 Jan 2021
No
AH8466
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 5: advising on futures contracts
14 Jul 2018 - 15 Jan 2021
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.