Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
DU, JUAN
Chinese Name of Relevant Individual
杜娟
HKMA Registration Number
AJ3460
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
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jun 2024 - 10 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
19 Jun 2024 - 10 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2023 - 16 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Nov 2023 - 16 Jun 2024
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
DU, JUAN
:
Chinese Name of Relevant Individual
杜娟
:
HKMA Registration Number
AJ3460
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ3460
INDUSTRIAL BANK CO., LTD.
Type 1: dealing in securities
19 Jun 2024 - 10 Jan 2025
No
AJ3460
INDUSTRIAL BANK CO., LTD.
Type 4: advising on securities
19 Jun 2024 - 10 Jan 2025
No
AJ3460
INDUSTRIAL BANK CO., LTD.
Type 1: dealing in securities
01 Nov 2023 - 16 Jun 2024
No
AJ3460
INDUSTRIAL BANK CO., LTD.
Type 4: advising on securities
01 Nov 2023 - 16 Jun 2024
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.