Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAO, MIAOMIAO
Chinese Name of Relevant Individual
姚苗苗
HKMA Registration Number
AI1507
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
20 Feb 2024
Is an Executive Officer? (Yes / No)
No
Capacity
COVERAGE, CORPORATE & INVESTMENT BANKING
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
20 Feb 2024
Is an Executive Officer? (Yes / No)
No
Capacity
COVERAGE, CORPORATE & INVESTMENT BANKING
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
20 Feb 2024
Is an Executive Officer? (Yes / No)
No
Capacity
COVERAGE, CORPORATE & INVESTMENT BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 20 Feb 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 20 Feb 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 20 Feb 2024
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
14 Dec 2020 - 11 Feb 2024
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
14 Dec 2020 - 11 Feb 2024
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
03 May 2019 - 05 Jun 2020
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
03 May 2019 - 05 Jun 2020
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
YAO, MIAOMIAO
:
Chinese Name of Relevant Individual
姚苗苗
:
HKMA Registration Number
AI1507
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Feb 2024
No
COVERAGE, CORPORATE & INVESTMENT BANKING
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Feb 2024
No
COVERAGE, CORPORATE & INVESTMENT BANKING
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
20 Feb 2024
No
COVERAGE, CORPORATE & INVESTMENT BANKING
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI1507
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 20 Feb 2024
No
AI1507
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 20 Feb 2024
No
AI1507
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
Since 20 Feb 2024
No
AI1507
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
14 Dec 2020 - 11 Feb 2024
No
AI1507
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
14 Dec 2020 - 11 Feb 2024
No
AI1507
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
03 May 2019 - 05 Jun 2020
No
AI1507
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
03 May 2019 - 05 Jun 2020
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.