Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, YAN
Chinese Name of Relevant Individual
劉巘
HKMA Registration Number
AI9543
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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jul 2023 - 31 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 Jul 2023 - 31 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
13 Jul 2023 - 31 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jun 2022 - 29 Jan 2023
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
10 Jun 2022 - 29 Jan 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
LIU, YAN
:
Chinese Name of Relevant Individual
劉巘
:
HKMA Registration Number
AI9543
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI9543
HANG SENG BANK, LIMITED
Type 1: dealing in securities
13 Jul 2023 - 31 Jan 2025
No
AI9543
HANG SENG BANK, LIMITED
Type 4: advising on securities
13 Jul 2023 - 31 Jan 2025
No
AI9543
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
13 Jul 2023 - 31 Jan 2025
No
AI9543
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
10 Jun 2022 - 29 Jan 2023
No
AI9543
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
10 Jun 2022 - 29 Jan 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.