Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHENG, NANCY XIAONAN
Chinese Name of Relevant Individual
程晓南
HKMA Registration Number
AI3855
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
First date of engagement
07 Aug 2021
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGING DIRECTOR
Remarks
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
First date of engagement
07 Aug 2021
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGING DIRECTOR
Remarks
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
07 Aug 2021
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGING DIRECTOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
SFC CE number
AAK816
Business Address
26/F, 27/F, 28/F & 30/F, TWO PACIFIC PLACE, 88 QUEENSWAY, ADMIRALTY, 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
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 07 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
Since 07 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 07 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Feb 2020 - 14 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Feb 2020 - 14 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
03 Feb 2020 - 14 May 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
03 Feb 2020 - 14 May 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
03 Feb 2020 - 14 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
03 Feb 2020 - 14 May 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
CHENG, NANCY XIAONAN
:
Chinese Name of Relevant Individual
程晓南
:
HKMA Registration Number
AI3855
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
07 Aug 2021
No
MANAGING DIRECTOR
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
07 Aug 2021
No
MANAGING DIRECTOR
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 6: advising on corporate finance
07 Aug 2021
No
MANAGING DIRECTOR
Name of Registered Institution
SFC CE number
Business Address
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
AAK816
26/F, 27/F, 28/F & 30/F, TWO PACIFIC PLACE, 88 QUEENSWAY, ADMIRALTY, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI3855
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
Since 07 Aug 2021
No
AI3855
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
Since 07 Aug 2021
No
AI3855
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 6: advising on corporate finance
Since 07 Aug 2021
No
AI3855
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
03 Feb 2020 - 14 May 2021
No
AI3855
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
03 Feb 2020 - 14 May 2021
No
AI3855
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
03 Feb 2020 - 14 May 2021
No
AI3855
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
03 Feb 2020 - 14 May 2021
No
AI3855
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
03 Feb 2020 - 14 May 2021
No
AI3855
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
03 Feb 2020 - 14 May 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.