Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
JIAN, XIAOHUA
Chinese Name of Relevant Individual
簡晓華
HKMA Registration Number
AI1412
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
25 Oct 2022
Is an Executive Officer? (Yes / No)
No
Capacity
CORPORATE BANKING
Remarks
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Oct 2022
Is an Executive Officer? (Yes / No)
No
Capacity
CORPORATE BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
SFC CE number
AAI250
Business Address
NANYANG COMMERCIAL BANK BUILDING, 151 DES VOEUX 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
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 25 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 25 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jul 2021 - 23 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jul 2021 - 23 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Apr 2019 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
19 Apr 2019 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Apr 2019 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
19 Apr 2019 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
Effective Period
19 Apr 2019 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
JIAN, XIAOHUA
:
Chinese Name of Relevant Individual
簡晓華
:
HKMA Registration Number
AI1412
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
25 Oct 2022
No
CORPORATE BANKING
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
25 Oct 2022
No
CORPORATE BANKING
Name of Registered Institution
SFC CE number
Business Address
NANYANG COMMERCIAL BANK, LIMITED
AAI250
NANYANG COMMERCIAL BANK BUILDING, 151 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI1412
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
Since 25 Oct 2022
No
AI1412
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
Since 25 Oct 2022
No
AI1412
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
06 Jul 2021 - 23 Jul 2022
No
AI1412
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
06 Jul 2021 - 23 Jul 2022
No
AI1412
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
23 Jun 2021
No
AI1412
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
23 Jun 2021
No
AI1412
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
19 Apr 2019 - 30 Apr 2021
No
AI1412
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
19 Apr 2019 - 30 Apr 2021
No
AI1412
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
19 Apr 2019 - 30 Apr 2021
No
AI1412
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
19 Apr 2019 - 30 Apr 2021
No
AI1412
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
19 Apr 2019 - 30 Apr 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.