Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHOW, PUI MAN
Chinese Name of Relevant Individual
周佩文
HKMA Registration Number
AA1172
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
31 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ACCOUNT MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, 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
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2024 - 30 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Sep 2015 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
17 Sep 2015 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Jan 2015 - 24 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
30 Jan 2015 - 24 Jul 2015
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
29 May 2007 - 25 Jun 2014
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
29 May 2007 - 25 Jun 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AMERICAN EXPRESS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2008 - 12 Oct 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AMERICAN EXPRESS BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 May 2008 - 12 Oct 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
04 Aug 2004 - 20 May 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 20 May 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 20 May 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 03 Aug 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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
CHOW, PUI MAN
:
Chinese Name of Relevant Individual
周佩文
:
HKMA Registration Number
AA1172
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
31 May 2024
No
CLIENT ACCOUNT MANAGER
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1172
UBS AG
Type 1: dealing in securities
Since 31 May 2024
No
AA1172
UBS AG
Type 4: advising on securities
31 May 2024 - 30 Jun 2025
No
AA1172
CREDIT SUISSE AG
Type 1: dealing in securities
17 Sep 2015 - 31 May 2024
No
AA1172
CREDIT SUISSE AG
Type 4: advising on securities
17 Sep 2015 - 31 May 2024
No
AA1172
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
30 Jan 2015 - 24 Jul 2015
No
AA1172
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
30 Jan 2015 - 24 Jul 2015
No
AA1172
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
29 May 2007 - 25 Jun 2014
No
AA1172
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
29 May 2007 - 25 Jun 2014
No
AA1172
AMERICAN EXPRESS BANK LIMITED
Type 1: dealing in securities
01 May 2008 - 12 Oct 2008
No
AA1172
AMERICAN EXPRESS BANK LIMITED
Type 4: advising on securities
01 May 2008 - 12 Oct 2008
No
AA1172
DBS BANK (HONG KONG) LIMITED
Type 9: asset management
04 Aug 2004 - 20 May 2007
No
AA1172
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 20 May 2007
No
AA1172
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 20 May 2007
No
AA1172
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
01 Apr 2003 - 03 Aug 2004
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.