Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
GUO, YAN
Chinese Name of Relevant Individual

郭炎
HKMA Registration Number
AJ6223
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Jan 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKING
Remarks
Registered Institution
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Jan 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKING
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
GUO, YAN
:
Chinese Name of Relevant Individual
郭炎
:
HKMA Registration Number
AJ6223
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Type 1: dealing in securities
28 Jan 2025
No
INVESTMENT BANKING
SHANGHAI PUDONG DEVELOPMENT BANK CO., LTD.
Type 4: advising on securities
28 Jan 2025
No
INVESTMENT BANKING