Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YIM, SZE WAI
Chinese Name of Relevant Individual
嚴司蕙
HKMA Registration Number
AI5452
Current Registration
Not Applicable
Business Address
Not Applicable
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
BNP PARIBAS SECURITIES SERVICES
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jun 2022 - 23 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Dec 2021 - 20 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 6: advising on corporate finance
Effective Period
20 Dec 2021 - 20 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS SECURITIES SERVICES
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Nov 2020 - 19 Dec 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
YIM, SZE WAI
:
Chinese Name of Relevant Individual
嚴司蕙
:
HKMA Registration Number
AI5452
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI5452
BNP PARIBAS SECURITIES SERVICES
Type 1: dealing in securities
21 Jun 2022 - 23 Sep 2022
No
AI5452
BNP PARIBAS
Type 1: dealing in securities
20 Dec 2021 - 20 Jun 2022
No
AI5452
BNP PARIBAS
Type 6: advising on corporate finance
20 Dec 2021 - 20 Jun 2022
No
AI5452
BNP PARIBAS SECURITIES SERVICES
Type 1: dealing in securities
07 Nov 2020 - 19 Dec 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.