Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
XIE, YUYAN
Chinese Name of Relevant Individual
謝玉燕
HKMA Registration Number
AH9487
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
First date of engagement
27 Aug 2021
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
First date of engagement
27 Aug 2021
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
27 Aug 2021
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
27 Aug 2021
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CITIBANK, N.A.
SFC CE number
AAP937
Business Address
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Name of Registered Institution
CITICORP INTERNATIONAL LIMITED
SFC CE number
AAJ895
Business Address
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, 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
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 27 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 27 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 27 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 27 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Oct 2018 - 20 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
02 Oct 2018 - 20 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
02 Oct 2018 - 20 Aug 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
XIE, YUYAN
:
Chinese Name of Relevant Individual
謝玉燕
:
HKMA Registration Number
AH9487
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CITIBANK, N.A.
Type 1: dealing in securities
27 Aug 2021
No
RELATIONSHIP MANAGER
CITIBANK, N.A.
Type 4: advising on securities
27 Aug 2021
No
RELATIONSHIP MANAGER
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
27 Aug 2021
No
RELATIONSHIP MANAGER
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
27 Aug 2021
No
RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
CITIBANK, N.A.
AAP937
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
CITICORP INTERNATIONAL LIMITED
AAJ895
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH9487
CITIBANK, N.A.
Type 1: dealing in securities
Since 27 Aug 2021
No
AH9487
CITIBANK, N.A.
Type 4: advising on securities
Since 27 Aug 2021
No
AH9487
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 27 Aug 2021
No
AH9487
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
Since 27 Aug 2021
No
AH9487
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
02 Oct 2018 - 20 Aug 2021
No
AH9487
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
02 Oct 2018 - 20 Aug 2021
No
AH9487
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
02 Oct 2018 - 20 Aug 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.