Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WU, XIAOYAN
Chinese Name of Relevant Individual
吳曉嬿
HKMA Registration Number
AH9846
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
25 Nov 2023
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Nov 2023
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
LGT BANK AG
SFC CE number
AWF529
Business Address
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, 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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 25 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 25 Nov 2023
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
30 Oct 2018 - 07 Nov 2023
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
30 Oct 2018 - 07 Nov 2023
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
30 Oct 2018 - 07 Nov 2023
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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, XIAOYAN
:
Chinese Name of Relevant Individual
吳曉嬿
:
HKMA Registration Number
AH9846
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
25 Nov 2023
No
STAFF OF CLIENT ADVISOR
LGT BANK AG
Type 4: advising on securities
25 Nov 2023
No
STAFF OF CLIENT ADVISOR
Name of Registered Institution
SFC CE number
Business Address
LGT BANK AG
AWF529
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH9846
LGT BANK AG
Type 1: dealing in securities
Since 25 Nov 2023
No
AH9846
LGT BANK AG
Type 4: advising on securities
Since 25 Nov 2023
No
AH9846
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
30 Oct 2018 - 07 Nov 2023
No
AH9846
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
30 Oct 2018 - 07 Nov 2023
No
AH9846
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
30 Oct 2018 - 07 Nov 2023
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.